Richard Charles Ponce

Employer firm

Stone & Newhouse Wealth Advisory CRD 331044

Reported services (Item 5G)

• Financial planning

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → 04/2017
  Centaurus Financial, Inc.
  Anaheim, CA
• 04/2017 → 12/2021
  Crown Capital Securities, Lp
  Orange, CA
• 12/2023 → Present
  Stone & Newhouse Wealth Advisory
  Los Angeles, CA
• 03/2015 → Present
  Rcp Accounting And Tax Services, Inc.
  Los Angeles, CA

Previous Registrations

• 2017-04-04 → 2021-12-31
  Crown Capital Securities, L.P.
  Los Angeles, CA
  Los Angeles, CA
  Orange, CA
  Alhambra, CA
• 2010-11-09 → 2017-04-06
  Centaurus Financial, Inc.
  Anaheim, CA
  Twin Falls, ID
  Tacoma, WA
  Santa Rosa, CA
  Roseville, CA
  Oakland, CA
  Tualatin, OR
  Eugene, OR
  Anaheim, CA
  Kent, WA
• 2005-08-04 → 2006-12-13
  Western International Securities, Inc.
  Pasadena, CA
  Temecula, CA
  Pasadena, CA
• 2002-06-27 → 2005-08-04
  Ameriprise Financial Services, Llc
  Ontario, CA

Other Businesses

(1) START DATE 4/2017 I DEVOTE 80 HRS/MO (2 HRS DURING TRADING) AS PRESIDENT OF RCP ACCOUNTING & TAX SERVICES, INC.; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE PREPARING TAXES & BOOKKEEPING. (2) START DATE 2019 I DEVOTE 10 HRS/MO ( 2 HRS DURING TRADING) AS AGENT FOR RCP PROPERTIES; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE REAL ESTATE SALES & LISTINGS. (3)START DATE 2020 I DO NOT DEVOTE ANY TIME AT PRESENT AS AGENT FOR AFLAC SALES; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & NOT CURRENTLY ACTIVE. (4) START DATE 1/2018 I SPEND VARYING TIME AS AN INDEPENDENT CONTRACTOR FOR CROWN CAPITAL SECURITIES, LP; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE VISITING & INSPECTING BRANCHES FOR THE BROKER DEALER. (5) START 1/2021 I WILL DEVOTE AN UNDETERMINED AMOUNT OF TIME AS INDEPENDENT CONTRACTOR/LOAN OFFICE FOR RESIDENTIAL LOANS; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES WILL BE TO ASSIST HOME OWNERS WITH FINANCING & REFINANCING MORTGAGES; BUSINESS ADDRESS FOR ALL OF ABOVE IS THE SAME AS THE BRANCH.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-06-04
• S66 Uniform Combined State Law Examination
  2010-10-30
• S63 Uniform Securities Agent State Law Examination
  2000-01-25

Other Names

• Ricky Charlie Ponce