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Shay Douglas Pond

Osaic Wealth, Inc.

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About Shay Douglas Pond

Shay Douglas Pond is a financial advisor with over 2 years of experience in the industry. Shay is currently registered with Osaic Wealth, Inc. and has held previous positions at FSC Securities Corporation and Equitable Advisors, LLC. Shay holds the Series 66, Series 7TO, and SIE licenses. Shay specializes in providing financial planning and investment advice to individuals, businesses, and charitable organizations. Shay's experience and expertise can help you achieve your financial goals.

Firm Information

Shay Pond is currently registered with Osaic Wealth, Inc.. Osaic Wealth, Inc. is a corporation headquartered in Scottsdale, AZ. The firm has been approved and operates as an investment advisor, offering financial planning, pension consulting, and educational seminars. Osaic Wealth, Inc. manages assets for individuals, businesses, and charitable organizations, and participates in wrap fee programs.
Osaic Wealth, Inc.

18700 N. HAYDEN ROAD

SCOTTSDALE, AZ 85255

$94.56B

Assets Under Management

39,691

Total Clients

8,460

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Shay Pond’s Registration & Firm History

NC

11/03/2023 - Present

Osaic Wealth, Inc. (RALEIGH NC)

NC

06/09/2023 - 11/03/2023

FSC SECURITIES CORPORATION (RALEIGH NC)

NC

02/08/2022 - 06/13/2023

EQUITABLE ADVISORS, LLC (RALEIGH NC)

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Licenses & Designations

BOTH

Issued 03/02/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/08/2022

Series 7TO - General Securities Representative Examination

BC

Issued 12/13/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shay Douglas Pond.
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