Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Frank Pondt Jr. is a financial advisor with over 30 years of experience in the industry. Robert is currently registered with Citigroup Global Markets Inc. and is also registered with the state of California as an investment advisor representative. Previously, Robert was associated with Wells Fargo Advisors, LLC, Citigroup Global Markets Inc., Citicorp Investment Services, Morgan Stanley DW Inc., Smith Barney Inc. and Lehman Brothers Inc. Robert holds the Series 3, 7, and 66 securities licenses as well as the Series 63 license. Robert's areas of specialization include investment management, financial planning, retirement planning, and estate planning. Robert's goal is to help his clients reach their financial goals.
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.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/28/2016 - Present
Citigroup Global Markets Inc. (Newbury Park CA)
CA
03/20/2008 - 04/25/2016
WELLS FARGO ADVISORS, LLC (WOODLAND HILLS CA)
CA
05/29/2007 - 04/04/2008
CITIGROUP GLOBAL MARKETS INC. (THOUSAND OAKS CA)
CA
06/21/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (THOUSAND OAKS CA)
NY
03/27/1998 - 04/20/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/31/1993 - 03/24/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
07/01/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/04/1988 - 04/30/1988
GREENTREE SECURITIES CORP.
NA
07/23/1986 - 02/03/1988
BROOKS WEINGER ROBBINS & LEEDS INC.
BOTH
Issued 9/26/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/6/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/27/1989
Series 3 - National Commodity Futures Examination
BC
Issued 7/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
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BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
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NYSE American LLC
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NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
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Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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