Facundo R. Ponce
Professional summary
Facundo Rodrigo Ponce was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Facundo is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Facundo had worked at 7 firms, which includes JOSEPHTHAL & CO. INC., SANDGRAIN SECURITIES LLC, FIRST LIBERTY INVESTMENT GROUP INC., MONITOR INVESTMENT GROUP INC., BARINGTON CAPITAL GROUP L.P., D. BLECH & COMPANY INCORPORATED, DUKE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 1999 - July 13, 2000
JOSEPHTHAL & CO., INC.
December 20, 1996 - November 17, 1999
SANDGRAIN SECURITIES LLC
November 8, 1996 - December 5, 1996
FIRST LIBERTY INVESTMENT GROUP, INC.
June 17, 1996 - July 30, 1996
MONITOR INVESTMENT GROUP, INC.
December 20, 1994 - June 10, 1996
BARINGTON CAPITAL GROUP, L.P.
October 3, 1994 - December 2, 1994
JOSEPHTHAL & CO., INC.
January 27, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
January 4, 1993 - January 5, 1994
DUKE & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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