Herbert Pontzer, CFP®

Chief Compliance Officer (CCO)
herb@c1ag.com

Herb.Pontzer 001Herb was appointed Chief Compliance Officer of Client 1st Advisory Group in 2014.

Herb has been associated with the financial services industry for over twenty years as a manager, regulator and corporate executive. He is a Certified Financial Planner Licensee who through his experience incorporates the best practices of the industry to benefit his clients. In addition, Herb continues to offer his compliance and operations expertise as an independent consultant to the securities industry.

Prior to joining Client 1st Advisors, Herb was Chief Compliance Officer and Senior Vice President of NFP Securities, Inc., Austin, Texas from 2003 to 2005. From 1998 to 2003 he was Vice President and Chief Compliance Officer of InterSecurities, Inc. an affiliate of the Aegon Group located in St. Petersburg, FL.

For the period 1990 until 1998, Herb was a Field Supervisor for the Washington, DC and Cleveland District Offices of the National Association of Securities Dealers where he was responsible for directing staff examiners during on-site routine examinations and special investigations. Prior to joining the examination force, Herb was a Senior Analyst with the FINRA’s Corporate Financing Department in Washington, DC.

Herb received an AB in Government from Georgetown University and an MBA in Finance from The American University.