Jim D. Poncha

WORLD INVESTMENTS

Holliswood, NY

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CRD#: 2243358

Professional summary

Jim Dinshaw Poncha, who also goes by Jim D Poncha, is a registered financial advisor currently at WORLD INVESTMENTS, LLC located in Holliswood, New York.

Jim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jim has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim D Poncha

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

TFS ADVISORY SERVICES INVESTMENT ADVISOR REPRESENTATIVE START 2/9/2021 FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jim Dinshaw Poncha's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 9, 2021 - Present

WORLD INVESTMENTS, LLC

Office #2: 437 Newman Springs Rd, Lincroft, NJ 07738

CRD#: 20626

Holliswood, NY

Current

February 9, 2021 - Present

WORLD INVESTMENTS, LLC

Office #1: 437 Newman Springs Road, Lincroft, NJ 07738

CRD#: 20626

Lincroft, NJ

Past

September 25, 2020 - March 9, 2021

VANTAGE WEALTH MANAGEMENT LLC

RIA

CRD#: 179535

Aventura, FL

Past

May 21, 2018 - September 12, 2019

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

NEW YORK, NY

Past

February 2, 2016 - May 14, 2018

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

January 5, 2015 - December 8, 2015

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA

CRD#: 108604

MELVILLE, NY

Past

January 13, 2012 - December 8, 2015

LADENBURG THALMANN & CO. INC.

CRD#: 505

MELVILLE, NY

Past

January 2, 2009 - November 7, 2011

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

SMITHTOWN, NY

Past

August 29, 2000 - December 31, 2008

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

SMITHTOWN, NY

Past

March 25, 1993 - September 15, 2000

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

September 22, 1992 - September 7, 1994

MELBOURNE GSI CORP.

CRD#: 15446

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/9/2021)

Kentucky
(2/9/2021)

New Jersey
(2/9/2021)

IAR

New Jersey
(2/10/2021)

New York
(2/9/2021)

IAR

New York
(2/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WORLD INVESTMENTS, LLC

CRD#: 20626 / SEC#: 801-56426, 8-38377

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

437 Newman Springs Road, Lincroft, NJ 07738

Mailing Address

437 Newman Springs Road, Lincroft, NJ 07738

Phone number

(732) 758-9300

Established

New Jersey since 09/30/2025

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

217

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WORLD ADVISORY SERVICES ADV PART 2 FIRM BROCHURE 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WIA CORPORATE BUYER, LLC	SHAREHOLDER
CARTER, ANA ROUMENOVA	FINOP	4424794
CURLEY, JONATHAN E	PRESIDENT	827148
TOOLE, BARRY P	CCO	3142901

Regulatory assets under management

Total Number of Accounts	4,697
AUM (Assets Under Management)	$ 1,734,780,346

Disclosures

Regulatory Event	3
Arbitration	2
Bond	1

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.

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Advisor Monitoring

Firm Stability Insights

Jim D. Poncha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jim Dinshaw Poncha's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD INVESTMENTS, LLC

VANTAGE WEALTH MANAGEMENT LLC

JOSEPH STONE CAPITAL L.L.C.

WINDSOR STREET CAPITAL, LP

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN & CO. INC.

ALLIED BEACON PARTNERS, INC.

ADVANCED PLANNING SECURITIES, INC.

JOSEPHTHAL & CO., INC.

MELBOURNE GSI CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2019

Series 63

Date: 7/28/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1992

FINRA

Current Firm

WORLD INVESTMENTS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WORLD INVESTMENTS, LLC

TRUST BUT VERIFY

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