Mark Pond is a CFP-designated registered investment advisor, based in Spring, TX, with 23 years of industry experience.
Location
Spring, TX
Get directionsHistory
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 2005Denied
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, INC.
October 2023 - Present · 2 yrs 11 mos
Raymond James Financial Services, INC.Broker
October 2023 - Present · 2 yrs 11 mos
Raymond James Financial Services Advisors, INC
October 2023 - Present · 2 yrs 11 mos
Previous Registrations
Raymond James & Associates, INC.Broker
September 2016 - October 2023 · 7 yrs 1 mo
Raymond James & Associates, INC.
September 2016 - October 2023 · 7 yrs 1 mo
Deutsche Bank Securities INC.
May 2013 - September 2016 · 3 yrs 4 mos
Deutsche Bank Securities INC.Broker
May 2013 - September 2016 · 3 yrs 4 mos
Morgan StanleyBroker
June 2009 - June 2013 · 4 yrs
Morgan Stanley
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.