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JP

John Joseph Pinto

CRD# 2258070·Registered 1998 - 2022

Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Joseph Pinto was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1998 - 2022. John had worked at 3 firms and has passed the Series 7 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

SOJE CAPITAL, LLC·CRD# 164555

RIA

Durham, NC

July 26, 2012 - April 1, 2022

BRIGHTLEAF CAPITAL, LLC·CRD# 138998

RIA

Durham, NC

February 27, 2006 - December 5, 2006

GEORGE K. BAUM & COMPANY·CRD# 36354

BD

Kansas City, MO

January 14, 1998 - April 24, 1998

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Current Firm

SC

SOJE CAPITAL, LLC

SOJE CAPITAL, LLC

CRD#: 164555 / SEC#: 802-124909

North Carolina

Registered Investment Advisory firm - North Carolina (4/1/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Miami, FL

Mailing Address

9429 Harding Ave #299, Surfside, FL 33154

Phone Number

(919) 680-3604

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	3/31/2022

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

EFFECTIVE JULY 2012, I BECAME A MEMBER AND A MANAGER OF SOLBRIDGE LLC, A SOLAR ENERGY DEVELOPER FOCUSED ON THE SOUTHEASTERN UNITED STATES. THE FIRM IS MAJORITY OWNED AND PRINCIPALLY RUN BY DAVID KENT TROWBRIDGE AND ITS ADDRESS IS 54 DALTON STREET CHARLESTON, SOUTH CAROLINA 29492. MY ROLE IS PRIMARILY ASSISTING IN SETTING AND EXECUTING THE OVERALL STRATEGY OF THE BUSINESS, WITH MINOR INVOLVEMENT IN TACTICAL OR DAILY ACTIVITIES. I EXPECT TO SPEND APPROXIMATELY LESS THAN 10 HOURS PER MONTH ON SOLBRIDGE MATTERS AND A NEGLIGIBLE PORTION OF THAT DURING MARKET HOURS.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Jan 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JP

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