Joseph D. Ponti
Professional summary
Joseph Damian Ponti, who also goes by Joseph Ponti, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Damian Ponti's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2013 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017Office #2: 140 East 45th Street 10th Floor, New York, NY 10017January 12, 2006 - December 5, 2011
MF GLOBAL INC.
July 19, 2000 - December 31, 2005
REFCO SECURITIES, LLC
June 7, 1999 - July 27, 1999
DEUTSCHE BANK SECURITIES INC.
April 11, 1995 - June 7, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/17/2019)
(5/15/2015)
(5/15/2015)
(5/15/2015)
(5/15/2015)
(5/15/2015)
(5/15/2015)
(5/15/2015)
(11/6/2013)
(5/15/2015)
(4/27/2018)
(5/15/2015)
(5/15/2015)
(5/15/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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