Mark PondCRD Number: 1404454
Current Firm: Oppenheimer & Company Inc.
Mark Pond (CRD# 1404454) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Virginia Beach, VA and has over 31 years of experience in the finance industry.
Pathway Financial Planning, Inc.
Lincoln Financial Advisors Corporation
Virginia Capital Management Group Inc.
|Oppenheimer & Company Inc.||Norfolk, VA||May 2012 - Current||5|
|Rbc Capital Markets Corporation||Virginia Beach, VA||Mar 2009 - May 2012||3|
|Ferris, Baker Watts Incorporated||Virginia Beach, VA||Sep 1998 - May 2009||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1986|
|S65||NASAA Investment Advisors Law Examination||Jun 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
Total Assets Under Management9,080MILLIONS
Total Number of Accounts19,246ACCOUNTS
Average Account Value$471,802
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV