Charles A. Ponciroli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Anthony Ponciroli was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 10, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 25, 2001 - October 20, 2004
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
August 9, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
December 1, 1995 - August 9, 1996
ESSEX NATIONAL SECURITIES, LLC
September 6, 1995 - December 4, 1995
CHEMICAL INVESTMENT SERVICES CORP.
February 8, 1995 - August 17, 1995
FIRSTAR INVESTMENT SERVICES,INC.
January 4, 1994 - April 28, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 27, 1992 - June 8, 1995
FIRST COLONIAL INVESTMENT SERVICES, INC.
August 2, 1991 - August 7, 1992
EDWARD JONES
March 27, 1991 - July 24, 1991
GUARDIAN INTERNATIONAL SECURITIES CORP.
January 22, 1991 - March 14, 1991
WHITEHOUSE & MOORE INVESTMENTS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
