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11501 Dublin Blvd. Suite 316, Dublin, CA 94568 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-19 |
| CA | RA | APPROVED | 2022-07-12 |
Branch Locations
11501 Dublin Blvd. Suite 316, Dublin, CA 94568 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rice Pontes Capital, Inc. | San Ramon | CA | 12/1995 | 12/2016 |
| Marathon Retirement Planning | Dublin | CA | 09/2016 | Present |
| Investment Architects, Inc. | Petaluma | CA | 08/2016 | 11/2021 |
| Pontes Financial Group, Inc. | Dublin | CA | 12/2011 | Present |
| Arkadios Capital | Atlanta | GA | 12/2021 | 03/2023 |
ANTHONY PONTES, Insurance Agent, 100% OWNERSHIP, LIFE, DISABILITY AND ANNUITY SALES, 3% OF TIME SPENT, 3% of time spent during market hours, DUBLIN; TRUSTEE OF FAMILY ESTATE - DUBLIN, 2% OF TIME SPENT, 0% of time spent during market hours; PONTES FINANCIAL GROUP, INC. 100% OWNERSHIP, DUBLIN, 20% of time spent, 15% of time spent during market hours; MARATHON RETIREMENT PLANNING, president & investment advisor, 100% OWNERSHIP, 70% OF TIME SPENT, 80% of time spent during market hours; All of the "other business" activities are investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-12 |
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