Mark Pond is a registered investment advisor at Osaic Wealth, INC., based in Chesapeake, VA, with 40 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
Chesapeake, VA
Get directionsHistory
Regulatory History (3)
Customer Dispute
February 2004Customer Dispute
October 1995Employment Separation After Allegations
June 1995Other Business Activities
Mark conducts investment and advisory business through Signature Financial Group, LLC. This activity is investment-related and takes nearly all of his time.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Signator Investors, INC.Broker
Signator Investors, INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Ferris, Baker Watts, LLC
Ferris, Baker Watts, LLCBroker
Wheat, First Securities, INC.Broker
Prudential Securities IncorporatedBroker
Gruntal & CO. IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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