James Pontone, financial advisor Stamford CT
93 score

James Pontone

CRD Number: 1259450
Current Firm: Johnston Asset Management LLC

James Pontone (CRD# 1259450) is an Investment Advisor Representative working at Johnston Asset Management LLC in Stamford, CT and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
The Winchester Group Inc. New York, NY Jan 2009 - Feb 2011 2
Ark Securities Company, Inc. New York, NY Jul 1995 - Jan 2009 13
Ark Asset Management Company, Inc. New York, NY Jul 1995 - Jan 2009 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1993
S65 NASAA Investment Advisors Law Examination Dec 2009
Contact Info for James G. Pontone
Phone Number: 203-324-4722
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    3,959
    MILLIONS
  • Total Number of Accounts
    349
    ACCOUNTS
  • Average Account Value
    $11,344,328
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

CA, CT, DE, FL, IL, MD, MI, NH, NJ, NY, OH, PA, TX

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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