Casey Pond

Current Employers

First Citizens Investor Services, Inc.

8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2017-08-24

NC RA
APPROVED

Since 2017-08-24

Branch Locations

1700 Four Seasons Blvd, Hendersonville, NC 28792 • United States

128 S Tryon Street, Charlotte, NC 28202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Citizens Investor Services	Raleigh	NC	02/2015	06/2017
Fifth Third Securities	Black Mountain	NC	06/2017	08/2017
Round Table Investments	Boone	NC	06/2005	Present
First Citizens Investor Services	Raleigh	NC	08/2017	Present

02/2015 → 06/2017

First Citizens Investor Services

Raleigh, NC
06/2017 → 08/2017

Fifth Third Securities

Black Mountain, NC
06/2005 → Present

Round Table Investments

Boone, NC
08/2017 → Present

First Citizens Investor Services

Raleigh, NC

Previous Registrations

2017-06-15 → 2017-08-14

Fifth Third Securities, Inc.

Black Mountain, NC

Brevard, NC

Rutherfordton, NC

Forest City, NC

Marion, NC
2015-02-18 → 2017-06-12

First Citizens Investor Services, Inc.

Hendersonville, NC

Hendersonville, NC
2013-07-05 → 2015-02-20

Wells Fargo Clearing Services, Llc

Hendersonville, NC

Other Businesses

1) Round Table Investments LLC - 221 Cane Rd, Boone, NC 28607 - real estate holding co. - co-owner - 1 hr/mo (0 during trade hrs) - investment related - will not interfere with duties at firm. 2) MOUNTAINS TO SEA, LLC POSITION: Owner/Co-Owner NATURE: Personal/Family Business (DBA, Family Farm, LLC, LLP, Sole Proprietorship, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/28/2025 ADDRESS: 1183 glenheath dr, hendersonville NC 28791, United States DESCRIPTION: This llc is a holding company for a boat. 3) Pond Brothers LLC, 1183 Glenheath Dr. Hendersonville, NC 28791; LLC owns rental property. Property is 100% managed and all bookkeeping and accounting is outsourced; title is assoc. family member began 9/29/20; 2 hours per month. 0 during trading hours; non-investment related; duties are I am the managing member of a newly formed LLC consisting of myself, and my two brothers. We own a duplex which is 100% managed. I do very little for this llc outside of making authorizations for large repairs. We recently began this activity ( LLC formed on 9/29/2020) when my father transferred the property to my brothers and I.; I receive no compensation for my management activity; if it goes well with rental activity I could receive a K1: business is not a client of the firm.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-05

S66 Uniform Combined State Law Examination

2013-07-05

Other Names

Karl Sergeedward Pond
Casey Pond
Karl Sergeedward Pond
Karl Serge Edward Pond

View on SEC IAPD