Archie A. Ponce

OPTIMA ASSET MANAGEMENT

Dallas, TX 75231

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CRD#: 2899966

Professional summary

Archie Alba Ponce, CFP®, who also goes by Archie Alba Alba Ponce, is a registered financial advisor currently at OPTIMA ASSET MANAGEMENT INC located in Dallas, Texas.

Archie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Archie has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Archie Alba Alba Ponce

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) - RIA

Click below to view Archie Alba Ponce'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

April 26, 2016 - Present

OPTIMA ASSET MANAGEMENT INC

Office #1: 8144 Walnut Hill Lane Suite 1180, Dallas, TX 75231

RIA

CRD#: 106095

Dallas, TX

Past

March 15, 2005 - September 26, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, FL

Past

February 24, 1999 - July 16, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 29, 1998 - January 25, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 29, 1997 - June 10, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

OPTIMA ASSET MANAGEMENT INC

CRD#: 106095 / SEC#: 801-52409

RIA

Registered Investment Advisory firm - (7/12/1996 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/26/2016)

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 65

Date: 4/21/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/11/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

OPTIMA ASSET MANAGEMENT INC

CRD#: 106095 / SEC#: 801-52409

RIA

Registered Investment Advisory firm - (7/12/1996 Approved)

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Contact information

Main Address

8144 Walnut Hill Lane Suite 1180, Dallas, TX 75231

Mailing Address

Phone number

(972) 726-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/19/2025)

Regulatory assets under management

Total Number of Accounts	284
AUM (Assets Under Management)	$ 607,144,932

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

Archie A. Ponce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Archie Alba Ponce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIRST UNION BROKERAGE SERVICES, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

OPTIMA ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/2016

Series 63

Date: 10/9/1997

Series 7

Date: 7/28/1997

Series 10

Date: 10/13/2000

Series 9

Date: 9/11/2000

Current Firm

OPTIMA ASSET MANAGEMENT INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OPTIMA ASSET MANAGEMENT INC

TRUST BUT VERIFY

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