Laura Ponticello has been an investment adviser representative at Sage Rhino Capital since March 2021, and is not listed among the firm’s executive officers or direct owners.
Sage Rhino Capital LLC is a Menlo Park, CA firm with $884M under management, 196 clients and 4 advisers in one office, as of its March 2026 filing.
Laura Ponticello’s longest registration was 10 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2010–2021). Before joining Sage Rhino Capital in 2021, Laura Ponticello was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Sage Rhino Capital LLCCurrent– present · 5 yearsMission Viejo, CA · Adviser representative · Firm CRD 290148
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 10 yearsLaguna Niguel, CA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Laura Ponticello is registered as an investment adviser representative in California, since March 2021.
- CaliforniaSince 22 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 June 2008 |
| Series 7 | General Securities Representative Examination | 14 June 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 June 2003 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 June 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Laura Dan'Ette Ponticello
- CRD
- 4672390
- Firm
- Sage Rhino Capital · CRD 290148
- Office
- Mission Viejo, CA
- Registration
- Investment adviser registration
- In the industry since
- July 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Laura Ponticello work?
Laura Ponticello is an investment adviser representative registered through Sage Rhino Capital LLC since March 2021, and is not listed among the firm’s executive officers or direct owners.
Is Laura Ponticello a financial advisor?
Yes. Laura Ponticello has a current investment-adviser registration in California, through Sage Rhino Capital since March 2021.
How many years of experience does Laura Ponticello have?
Laura Ponticello has 23 years in the financial industry, since July 2003, across 2 adviser firms.
What exams has Laura Ponticello passed?
Laura Ponticello has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in June 2003. FINRA credited Laura Ponticello with the SIE, which began in October 2018.
Where did Laura Ponticello work before Sage Rhino Capital?
Before Sage Rhino Capital, Laura Ponticello was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 2010 to March 2021.
Where is Laura Ponticello based?
Laura Ponticello’s registered office is in Mission Viejo, CA.
Is Laura Ponticello registered with FINRA?
No. Laura Ponticello has no current broker registration.
How can I verify Laura Ponticello’s record?
Search CRD 4672390 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Laura Ponticello’s full registration record.