Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Pondt is a financial professional with over 40 years of experience in the industry. David is currently registered with Loop Capital Markets LLC and is located in New York, New York. Previously, David has held positions at Oppenheim & Co. Inc., Wells Fargo Securities, LLC, Nomura Securities International, Inc., Barclays Capital Inc., Credit Suisse First Boston LLC, BancAmerica Securities, Inc., Lehman Brothers Inc., Lehman Government Securities Inc., Lehman Special Securities Inc. and Lehman Brothers Kuhn Loeb Incorporated. David has passed the Series 63, Series 8, SIE and Series 7 exams and holds registrations in Illinois and Texas. David's area of expertise is not disclosed in this data.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Transition management services/equity research services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Negotiated fees for research services
1
2
NY
10/05/2020 - Present
Loop Capital Markets LLC (NEW YORK NY)
IL
04/06/2020 - 10/02/2020
OPPENHEIMER & CO. INC. (CHICAGO IL)
TX
10/27/2014 - 01/10/2020
WELLS FARGO SECURITIES, LLC (DALLAS TX)
IL
04/08/2013 - 10/31/2014
NOMURA SECURITIES INTERNATIONAL, INC. (CHICAGO IL)
IL
07/08/2004 - 02/26/2013
BARCLAYS CAPITAL INC. (CHICAGO IL)
NY
09/09/1997 - 07/09/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
CA
02/08/1996 - 09/30/1997
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
NY
06/26/1984 - 01/04/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/29/1987 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/14/1988 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
NA
11/27/1978 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BC
Issued 02/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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