Joseph J. Ponzio
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.
Joseph John Ponzio, who also goes by Joe John Ponzio, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2009 - December 31, 2014
PONZIO CAPITAL INC.
September 27, 2007 - November 4, 2009
THE MERIDIAN BUSINESS GROUP, LTD
March 18, 2002 - May 16, 2006
THE MERIDIAN BUSINESS GROUP, LTD
June 1, 2001 - January 23, 2002
EDWARD JONES
October 9, 2000 - May 7, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Exams
Current Firm
PONZIO CAPITAL INC.
CRD#: 152335 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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