Raul U. Ponte
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.
Raul Ubaldo Ponte was a registered financial professional .
Raul is a previously registered financial professional and started their career in finance in 1992. Raul had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 15, 2014 - April 26, 2024
CREAND MANAGEMENT
August 26, 2014 - April 26, 2024
CREAND SECURITIES
September 12, 2012 - July 23, 2014
ANDBANC ADVISORY LLC
April 11, 2012 - July 23, 2014
ANDBANC BROKERAGE, LLC
May 20, 2011 - July 2, 2012
NORTHEAST SECURITIES, LLC
January 18, 2011 - May 4, 2011
ACTIVA CAPITAL MARKETS, INC.
November 13, 2006 - January 19, 2011
ATLAS ONE FINANCIAL GROUP, LLC
September 26, 2001 - July 17, 2003
BARCLAYS CAPITAL INC.
March 1, 2001 - August 23, 2001
COMMERZ MARKETS LLC
April 23, 1996 - February 9, 2001
J.P. MORGAN SECURITIES INC.
March 26, 1996 - April 1, 1996
CHASE SECURITIES, INC.
February 24, 1995 - March 22, 1996
J.P. MORGAN SECURITIES INC.
August 11, 1992 - February 24, 1995
JPMSI
Primary Firm SEC Registration
CREAND MANAGEMENT
CRD#: 154894 / SEC#: 801-106772
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
CREAND MANAGEMENT
CRD#: 154894 / SEC#: 801-106772
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 140 |
| AUM (Assets Under Management) | $ 533,350,459 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 04/17/2025 |
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.
