JP
Jorge A. Ponce
PFS INVESTMENTS
Staten Island, NY 10305
Some features on this profile are disabled
CRD#: 3248148
JP
Professional summary
Jorge Alberto Ponce, who also goes by Jorge A Ponce Jr, Jorge A Ponce, Jorge Alberto Ponce Jr, Jorge Ponce, Jorge Alberto Ponce Jr., Jorge Alberto Ponce, is a registered financial professional currently at PFS INVESTMENTS INC. located in Staten Island, New York.
Jorge is registered as a RR (Registered Representative) and started their career in finance in 2001. Jorge has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jorge A Ponce Jr | Jorge A Ponce | Jorge Alberto Ponce Jr | Jorge Ponce | Jorge Alberto Ponce Jr. | Jorge Alberto 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.
CRS (Client Relationship Summary) - BD
Click below to view Jorge Alberto Ponce's 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®
NoneExperience
Current
January 25, 2023 - Present
PFS INVESTMENTS INC.
Office #1: 259 Liberty Ave Ste 2, Staten Island, NY 10305RIA
BD
CRD#: 10111
Staten Island, NY
Past
May 21, 2021 - June 23, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MELVILLE, NY
Past
May 3, 2018 - February 11, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
February 10, 2016 - April 17, 2018
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BROOKLYN, NY
Past
February 13, 2015 - December 22, 2015
TD AMERITRADE, INC.
RIA
CRD#: 7870
JERSEY CITY, NJ
Past
February 13, 2015 - December 22, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
JERSEY CITY, NJ
Past
December 11, 2014 - December 22, 2015
TD AMERITRADE, INC.
BD
CRD#: 7870
JERSEY CITY, NJ
Past
November 27, 2012 - December 4, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
STATEN ISLAND, NY
Past
January 14, 2009 - October 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JERSEY CITY, NJ
Past
April 23, 2008 - July 25, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MORRISTOWN, NJ
Past
May 29, 2007 - April 28, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STATEN ISLAND, NY
Past
July 19, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LEVITTOWN, NY
Past
April 2, 2004 - July 7, 2004
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
August 3, 2001 - June 26, 2002
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
NEW YORK, NY
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".
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
New Jersey(11/17/2023)
RR
New York(1/25/2023)
RR
Ohio(8/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1 Primerica Parkway, Duluth, GA 30099-0001
Mailing Address
1 Primerica Parkway, Duluth, GA 30099-0001
Phone number
(770) 381-1000
Established
Georgia since 07/07/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,762
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMERICA FINANCE CORPORATION | DIRECT OWNER | |
| COLEY, DASIA DEBORAH | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 6760291 |
| JENDUSA, NICHOLAS ADAM | EXECUTIVE VICE PRESIDENT | 6037365 |
| LESUTIS, MICHAEL | SENIOR VICE PRESIDENT & CHIEF COUNSEL | 4751250 |
| MILLER, DEBORAH LYNN | EXECUTIVE VICE PRESIDENT | 3036949 |
| NEMETZ, WILLIAM JAMES | DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 4589878 |
| REGARD, PAUL ETIENNE | PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER | 2448671 |
| RIVET, LORI ALLISON | EXECUTIVE VICE PRESIDENT | 4496273 |
| SUKIN, KAREN LYNN | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | 6292138 |
| WEIGLE, BRIAN STEVEN | DIRECTOR AND EXECUTIVE VICE PRESIDENT | 4131816 |
| WELLS, MICHAEL KURT | EXECUTIVE VICE PRESIDENT & TREASURER | 5999501 |
| WOODRING, DANIEL AARON | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4028705 |
Regulatory assets under management
| Total Number of Accounts | 70,434 |
| AUM (Assets Under Management) | $ 11,156,017,804 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 2 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
