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Mark Pond

Raymond James Financial Services Advisors, INC
23 Years of Experience
The Woodlands, TX
1 DisclosureBroker
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Mark Pond is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in The Woodlands, TX, with 23 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 Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

The Woodlands, TX

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is a volunteer finance committee member for Frassati Catholic High School, dedicating minimal time. He is also a managing member of MAP Wealth Management LLC and Pond Wealth Management, entities supporting his financial advisory activities, taking about 10-20% of his time for each.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2023 - Present · 3 yrs
Raymond James Financial Services, INC.Broker
October 2023 - Present · 3 yrs
Previous Registrations
Raymond James & Associates, INC.
September 2016 - October 2023 · 7 yrs 1 mo
Raymond James & Associates, INC.Broker
September 2016 - October 2023 · 7 yrs 1 mo
Deutsche Bank Securities INC.Broker
May 2013 - September 2016 · 3 yrs 4 mos
Deutsche Bank Securities INC.
May 2013 - September 2016 · 3 yrs 4 mos
Morgan Stanley
June 2009 - June 2013 · 4 yrs
Morgan StanleyBroker
June 2009 - June 2013 · 4 yrs
Citigroup Global Markets INC.
April 2008 - June 2009 · 1 yr 2 mos
Citigroup Global Markets INC.Broker
April 2008 - June 2009 · 1 yr 2 mos
UBS Financial Services INC.
April 2003 - April 2008 · 5 yrs
UBS Financial Services INC.Broker
March 2003 - April 2008 · 5 yrs 1 mo
State Registrations12 states
CAFLLAMAMIMNMTNJOKSCTXVA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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