AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MP

Michael C. Ponticello

AMERICAN ELM DISTRIBUTION PARTNERS
Portsmouth, NH 03801
Some features on this profile are disabled
CRD#: 4851169
MP

Professional summary

Michael Carl Ponticello, who also goes by Michael C Ponticello, Mike Ponticello, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael C Ponticello | Mike Ponticello

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Carl Ponticello's CRS (Customer Relationship Summary).
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

November 24, 2010 - Present

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

Office #1: 155 Fleet St, Portsmouth, NH 03801
BD
CRD#: 153322
Portsmouth, NH
Past

November 10, 2004 - January 19, 2006

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY

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
Alabama
(7/26/2024)
RR
California
(7/26/2024)
RR
Colorado
(7/26/2024)
RR
Florida
(7/26/2024)
RR
Indiana
(1/3/2024)
RR
Massachusetts
(7/26/2024)
RR
Michigan
(1/3/2024)
RR
New Hampshire
(5/20/2011)
RR
New York
(12/1/2010)
RR
Pennsylvania
(7/26/2024)
RR
Texas
(6/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/22/2010
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 7
Date: 6/14/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 11/9/2004
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AE
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
AMERICAN ELM DISTRIBUTION PARTNERS, LLC | SQN SECURITIES LLC

CRD#: 153322 / SEC#: , 8-68523

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
155 Fleet Street, Portsmouth, NH 03801
Mailing Address
155 Fleet Street, Portsmouth, NH 03801
Phone number
(603) 766-4924
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IDP HOLDINGS, INCMEMBER
GRANITE ISLAND HOLDINGS, LLCMEMBER
MURRAY, JESSICA LEECHIEF COMPLIANCE OFFICER4675076
PONTICELLO, MICHAEL CARLCEO & PRESIDENT4851169
RYAN, KIMBERLY ANNFINOP4316310

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.

Company Information

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322Portsmouth, NH 03801

TRUST BUT VERIFY

Monitor Michael Ponticello

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Franklin Habig
John HabigAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Rye, NH
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.