Zoltan Pongracz

THIRD VIEW PRIVATE WEALTH

WESTPORT, CT 06880

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CRD#: 5982671

Professional summary

Zoltan Pongracz JR., CFP®, ChFC®, CLU®, who also goes by Zoltan Pongracz Jr., Zoltan Pongracz, is a registered financial advisor currently at THIRD VIEW PRIVATE WEALTH located in Westport, Connecticut and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Zoltan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Zoltan has worked at 6 firms and has passed the Series 63, Series 66, Series 6TO, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zoltan Pongracz Jr. | Zoltan Pongracz

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.) THIRD VIEW RISK LLC - 6/18/25 - 55 Post Road W, Westport, CT 06880 - Owner of entity and licensed agent, Implementing non-variable insurance solutions as client needs arise, Not Invt Rel, Fixed ins business, 5 hrs/mo; 5 hrs/mo (during trading hours). 2.) WESTOVER MIANUS PARTNERSHIP LLC - 3/11/24 - 55 Port Road W, Westport, CT 06880 - Owner of LLC that is subdividing 56 acres of land in Stamford, CT to be sold as lots, Not Invt Rel, Real estate investment business, 5 hrs/mo; 1 hr/mo (during trading hours). 3.) TRUSTEE, CLIENT ACCOUNTS - 6/18/25 - 55 Post Road W, Wespoort, CT 06880 - Trustee, Serving as trustee occasionally for clients, Invt Rel, Trustee, 1 hr/mo; 1 hr/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zoltan Pongracz JR.'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®

CFP^®

Certified Financial Planner

Start date: 2017

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

May 22, 2025 - Present

THIRD VIEW PRIVATE WEALTH

Office #1: 55 Post Road West 1st Floor, Westport, CT 06880

RIA

CRD#: 335591

WESTPORT, CT

Current

July 7, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

April 9, 2024 - May 20, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Shelton, CT

Past

November 30, 2021 - May 21, 2025

PROCYON

RIA

CRD#: 288239

SHELTON, CT

Past

March 25, 2017 - December 13, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SHELTON, CT

Past

March 25, 2017 - December 13, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

SHELTON, CT

Past

March 7, 2012 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SHELTON, CT

Past

October 26, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SHELTON, CT

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".

THIRD VIEW PRIVATE WEALTH

THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA

Registered Investment Advisory firm - (5/19/2025 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.

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

California
(7/7/2025)

IAR

Connecticut
(5/22/2025)

Connecticut
(7/7/2025)

Florida
(7/7/2025)

Massachusetts
(7/7/2025)

Michigan
(7/7/2025)

New York
(7/7/2025)

South Dakota
(7/7/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/11/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/23/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 4/9/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 4/9/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THIRD VIEW PRIVATE WEALTH

THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA

Registered Investment Advisory firm - (5/19/2025 Approved)

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Contact information

Main Address

55 Post Road West 1st Floor, Westport, CT 06880

Mailing Address

1771 Post Road East Pmb #118, Westport, CT 06880

Phone number

(860) 759-0650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TVPW ADV 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	2,096
AUM (Assets Under Management)	$ 1,054,256,330

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

Zoltan Pongracz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zoltan Pongracz JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

PURSHE KAPLAN STERLING INVESTMENTS

PROCYON

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THIRD VIEW PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2024

Series 66

Date: 1/23/2012

Series 6TO

Date: 4/9/2024

Series 7TO

Date: 4/9/2024

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2011

FINRA

Current Firm

THIRD VIEW PRIVATE WEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THIRD VIEW PRIVATE WEALTH

TRUST BUT VERIFY

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