Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gerard Pontious is a financial advisor registered with Fidelity Personal And Workplace Advisors. James has over 30 years of experience in the financial services industry. James has a Series 7, 8, 9, 10, 63, and 66 license and is a Certified Financial Planner. James provides financial planning, portfolio management for individuals and businesses, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
IL
06/04/2021 - Present
Fidelity Personal AND Workplace Advisors (SCHAUMBURG IL)
IL
03/29/2012 - 11/13/2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHICAGO IL)
IL
12/20/2010 - 12/06/2011
AUSDAL FINANCIAL PARTNERS, INC. (DEERFIELD IL)
IL
03/25/1992 - 09/10/2010
CHARLES SCHWAB & CO., INC. (KENILWORTH IL)
NA
02/15/1990 - 11/18/1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
IL
03/16/1989 - 09/13/1989
FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)
MI
11/02/1987 - 10/01/1988
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
07/29/1987 - 10/13/1987
ROBERT W. BAIRD & CO. INCORPORATED
NA
07/29/1987 - 08/27/1987
NML EQUITY SERVICES, INC.
BOTH
Issued 02/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/14/1988
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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