Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Austin Pond is an investment advisor representative with over 23 years of experience in the financial services industry. Richard Pond is currently registered with LPL Financial LLC and Private Advisor Group, LLC. Richard Pond has been active in the industry since May 22, 2000. Pond holds licenses for both securities and investment advising.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory 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.
A percentage of the total value of assets under management is charged.
1
2
FL
02/26/2019 - Present
LPL Financial LLC (SARASOTA FL)
TX
06/01/2009 - 04/12/2013
MORGAN STANLEY (HOUSTON TX)
TX
05/23/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
IA
Issued 06/08/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/22/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Pond is the right advisor for you? Invested Better is here to help.
