Michael Carl Ponticello
Professional Summary
Michael Carl Ponticello, who also goes by Michael C Ponticello, Mike Ponticello, is a registered financial advisor currently at AMERICAN ELM DISTRIBUTION PARTNERS, LLC located in Portsmouth, New Hampshire. Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael C Ponticello, Mike Ponticello
Similar Advisors
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
MORGAN STANLEY
Years of Experience
22 years in the financial services industry
Current & Past Employments
Similar Advisors
MORGAN STANLEY
Current Firm
AMERICAN ELM DISTRIBUTION PARTNERS, LLC | SQN SECURITIES LLC | IAMS DISTRIBUTORS
Contact Information
Main Address
104 Congress St Suite 404, Portsmouth, NH 03801Mailing Address
104 Congress St Suite 404, Portsmouth, NH 03801Phone Number
(508) 864-2175Established
Delaware since 01/14/2010Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Similar Advisors
MORGAN STANLEY
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.
Similar Advisors
MORGAN STANLEY
State Registrations and Notice Filings
(7/26/2024)
(7/26/2024)
(7/26/2024)
(7/26/2024)
(1/3/2024)
(1/5/2026)
(7/26/2024)
(1/3/2024)
(5/20/2011)
(12/1/2010)
(7/26/2024)
(6/10/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Nov 2004About the Series 22 examSRO Registrations
Similar Advisors
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Michael Carl Ponticello's CRS (Customer Relationship Summary).
Similar Advisors
MORGAN STANLEY
