Mark Pond is a registered investment advisor at Osaic Wealth, INC., based in Chesapeake, VA, with 39 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
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.