Michael C. Pontillo

HUDSON HERITAGE CAPITAL MANAGEMENT

Croton-on-hudson, NY 10520

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CRD#: 2259048

Professional summary

Michael Charles Pontillo, who also goes by Michael C Pontillo, is a registered financial professional currently at HUDSON HERITAGE CAPITAL MANAGEMENT, INC. located in Croton-on-hudson, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael C Pontillo

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Charles Pontillo'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

July 17, 2008 - Present

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

Office #1: 20 Baltic Place Suite 2, Croton-on-hudson, NY 10520

RIA

CRD#: 44357

Croton-on-hudson, NY

Past

March 10, 1995 - February 11, 1997

ASSET ALLOCATION SECURITIES CORP.

CRD#: 25287

TARRYTOWN, NY

Past

October 7, 1993 - July 8, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

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

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).

State Registrations and Notice Filings

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

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

New York
(8/21/2008)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/25/1993

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: 7/16/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/6/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

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

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Contact information

Main Address

20 Baltic Place Suite 2 Suite 2, Croton-on-hudson, NY 10520

Mailing Address

20 Baltic Place Suite 2, Croton-on-hudson, NY 10520

Phone number

(914) 271-8102

Established

New York since 09/30/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/5/2025)

Direct owners and executive officers

Name	Position	CRD#
PETERSON, FREDERICK WILLIAM	VICE PRESIDENT	1420142
SCIANANDRE, DOMINICK THOMAS	PRESIDENT, CHIEF COMPLIANCE OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL	872050

Regulatory assets under management

Total Number of Accounts	432
AUM (Assets Under Management)	$ 121,730,000

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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Firm Stability Insights

Michael C. Pontillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Charles Pontillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET ALLOCATION SECURITIES CORP.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2008

Series 63

Date: 10/25/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2008

Series 6

Date: 10/6/1993

FINRA

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

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