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Detailed Report
RICHARD AUSTIN POND
CRD#: 4169336
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 SARASOTA, FL
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2009 (9 years)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (12 years)IALPL FINANCIAL LLC (CRD# 6413)2019 - Present (6 years)
License(s)

State Registrations

B
California 3/28/2013
B
New Mexico 5/1/2017
B
Colorado 3/28/2013
B
Texas 3/28/2013
B
Florida 4/21/2023
IA
Texas 3/28/2013
IA
Florida 6/20/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
SARASOTA, FL
Registered with this firm since 2/26/2019
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
Sarasota, FL
Registered with this firm since 3/28/2013
B
LPL FINANCIAL LLC (CRD#:6413)
SARASOTA, FL
Registered with this firm since 3/28/2013
Previous Registration(s)
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IA
 06/01/2009 - 04/12/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
 06/01/2009 - 04/12/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
IA
 05/24/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
 05/23/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.