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Richard C. Ponce

STONE & NEWHOUSE WEALTH ADVISORY
LOS ANGELES, CA 90041
Some features on this profile are disabled
CRD#: 4091885
RP

Professional summary

Richard Charles Ponce SR, who also goes by Ricky Charlie Ponce, is a registered financial advisor currently at STONE & NEWHOUSE WEALTH ADVISORY located in Los Angeles, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 55, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ricky Charlie 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.
(1) START DATE 4/2017 I DEVOTE 80 HRS/MO (2 HRS DURING TRADING) AS PRESIDENT OF RCP ACCOUNTING & TAX SERVICES, INC.; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE PREPARING TAXES & BOOKKEEPING. (2) START DATE 2019 I DEVOTE 10 HRS/MO ( 2 HRS DURING TRADING) AS AGENT FOR RCP PROPERTIES; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE REAL ESTATE SALES & LISTINGS. (3)START DATE 2020 I DO NOT DEVOTE ANY TIME AT PRESENT AS AGENT FOR AFLAC SALES; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & NOT CURRENTLY ACTIVE. (4) START DATE 1/2018 I SPEND VARYING TIME AS AN INDEPENDENT CONTRACTOR FOR CROWN CAPITAL SECURITIES, LP; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE VISITING & INSPECTING BRANCHES FOR THE BROKER DEALER. (5) START 1/2021 I WILL DEVOTE AN UNDETERMINED AMOUNT OF TIME AS INDEPENDENT CONTRACTOR/LOAN OFFICE FOR RESIDENTIAL LOANS; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES WILL BE TO ASSIST HOME OWNERS WITH FINANCING & REFINANCING MORTGAGES; BUSINESS ADDRESS FOR ALL OF ABOVE IS THE SAME AS THE BRANCH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Ponce SR'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®
None

Experience

Current

August 9, 2024 - Present

STONE & NEWHOUSE WEALTH ADVISORY

Office #1: 1477 Colorado Boulevard, Los Angeles, CA 90041
RIA
CRD#: 331044
LOS ANGELES, CA
Past

April 4, 2017 - December 31, 2021

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
LOS ANGELES, CA
Past

April 3, 2017 - December 31, 2021

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
LOS ANGELES, CA
Past

November 9, 2010 - April 6, 2017

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
TWIN FALLS, ID
Past

October 14, 2010 - April 6, 2017

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
TWIN FALLS, ID
Past

April 14, 2008 - July 18, 2008

GONOW SECURITIES, INC.

BD
CRD#: 104020
WEST PALM BEACH, FL
Past

February 12, 2007 - July 2, 2007

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

August 4, 2005 - December 13, 2006

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
TEMECULA, CA
Past

August 4, 2005 - December 13, 2006

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
TEMECULA, CA
Past

June 27, 2002 - August 4, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ONTARIO, CA
Past

July 21, 2000 - August 4, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 21, 2000 - August 4, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 13, 2000 - July 12, 2000

NATIONAL CAPITAL SECURITIES, INC.

BD
CRD#: 37702
OKLAHOMA CITY, OK
Past

January 9, 2000 - June 20, 2000

PROVIDENTIAL SECURITIES, INC.

BD
CRD#: 31189
FOUNTAIN VALLEY, CA

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
California
(8/9/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/4/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/28/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 2/21/2000
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/27/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/17/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

S&
STONE & NEWHOUSE WEALTH ADVISORY
STONE & NEWHOUSE WEALTH ADVISORY

CRD#: 331044 / SEC#:

California
Registered Investment Advisory firm - (8/9/2024 Approved)
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Contact information

Main Address
1477 Colorado Boulevard, Los Angeles, CA 90041
Mailing Address
Phone number
(323) 446-2780
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STONE & NEWHOUSE WEALTH ADVISORY

CRD#: 331044Los Angeles, CA 90041

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