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Detailed Report
BEATRIZ AMALIA PONTON
BEATRIZ A PONTON, BEATRIZ PONTON, BEATRIZ A ZUNIGA
CRD#: 2485764
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 15760 VENTURA BLVD STE 1250
[RBO]
ENCINO, CA 91436
Registration History
19952000200520102015202020252 FIRMS2000 - 2009 (8 years)2 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - Present (5 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2012 - 2019 (6 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2009 - 2011 (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2009 - 2009 (<1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1994 - 2000 (6 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - 2019 (6 years)
Disclosure(s)
View By:
6/30/2016
Financial
Final
4/24/2015
Financial
Final
License(s)

State Registrations

B
Arizona 2/28/2020
B
Missouri 8/28/2020
B
Arkansas 2/27/2023
B
Montana 1/4/2023
B
California 2/26/2020
B
Nevada 2/28/2020
IA
California 2/26/2020
B
New Jersey 3/5/2020
B
Colorado 3/5/2020
B
New Mexico 3/6/2020
B
Delaware 5/18/2020
B
New York 3/10/2020
B
District of Columbia 2/22/2023
B
North Carolina 7/29/2022
B
Florida 3/16/2022
B
Ohio 3/1/2020
B
Georgia 5/18/2020
B
Oklahoma 7/18/2024
B
Hawaii 8/3/2022
B
Oregon 5/26/2020
B
Idaho 3/4/2020
B
Pennsylvania 3/2/2020
B
Illinois 3/13/2020
B
South Carolina 2/13/2023
B
Indiana 7/19/2024
B
Tennessee 4/9/2020
B
Iowa 3/5/2020
IA
Texas 2/28/2020
B
Kansas 2/19/2025
B
Texas 3/4/2020
B
Louisiana 5/18/2020
B
Utah 5/18/2020
B
Maine 5/22/2020
B
Vermont 2/9/2023
B
Maryland 4/8/2020
B
Virginia 5/18/2020
B
Massachusetts 5/18/2020
B
Washington 5/18/2020
B
Minnesota 3/5/2020
B
Wisconsin 3/2/2020

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
15760 VENTURA BLVD STE 1250 [RBO], ENCINO, CA 91436
Registered with this firm since 2/26/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15760 VENTURA BLVD STE 1250 [RBO], ENCINO, CA 91436
Registered with this firm since 2/26/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/27/2019 - 02/28/2020 AMERIPRISE FINANCIAL SERVICES, LLC. (CRD#:6363) WOODLAND HILLS, CA
B
 03/26/2019 - 02/28/2020 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) WOODLAND HILLS, CA
IA
 02/15/2013 - 03/19/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ENCINO, CA
B
 05/02/2012 - 03/19/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ENCINO, CA
B
 09/16/2009 - 04/20/2011 HSBC SECURITIES (USA) INC. (CRD#:19585) CORAL GABLES, FL
B
 08/11/2009 - 08/27/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MIAMI, FL
IA
 10/01/2000 - 06/01/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MIAMI, FL
B
 10/01/2000 - 06/01/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MIAMI, FL
B
 05/24/1994 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.