Carlos A. Ponce

BPBI LLC

New York, NY 10036

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CRD#: 5233318

Professional summary

Carlos Alberto Ponce is a registered financial advisor currently at BPBI LLC located in New York, New York.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Carlos has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Carlos Alberto Ponce'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

April 5, 2019 - Present

BPBI LLC

Office #1: 500 Fifth Avenue 49th Floor, New York, NY 10036

RIA

CRD#: 288133

New York, NY

Past

September 5, 2007 - June 19, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 30, 2007 - June 19, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 15, 2006 - July 17, 2007

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BPBI LLC

CRD#: 288133 / SEC#: 801-110347

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

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

New York
(4/5/2024)

IAR

Texas
(4/5/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/26/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/14/2006

General Securities Representative Examination

Current Firm

BPBI LLC

CRD#: 288133 / SEC#: 801-110347

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

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Contact information

Main Address

500 Fifth Avenue 49th Floor, New York, NY 10036

Mailing Address

Phone number

(917) 951-5150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BPBI LLC FORM ADV PART 2A FEBRUARY 21, 2025 (2/21/2025)

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 60,972,427

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.

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Advisor Monitoring

Firm Stability Insights

Carlos A. Ponce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alberto Ponce's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS INTERNATIONAL INC.

Primary Firm SEC Registration

BPBI LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2007

SIE

Date: 6/19/2017

Series 3

Date: 1/26/2009

Series 7

Date: 11/14/2006

Current Firm

BPBI LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BPBI LLC

TRUST BUT VERIFY

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