Christopher Pontrelli
Professional summary
Being a previously registered professional could mean that this person 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.
Christopher Pontrelli SR, who also goes by Christopher Pontrelli, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1971. Christopher had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2006 - December 31, 2013
FINANCIAL WEST GROUP
July 16, 2003 - May 9, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 19, 1999 - July 15, 2003
CETERA WEALTH SERVICES, LLC
September 24, 1998 - June 1, 1999
WALNUT STREET SECURITIES, INC.
September 15, 1993 - December 3, 1998
SUNSET FINANCIAL SERVICES, INC.
April 27, 1971 - November 12, 1992
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
April 27, 1971 - September 1, 1993
VERAVEST INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/22/1968
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
