Mark Roy Pond

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2012 → 05/2017
  Oppenheimer & Co. Inc.
  Norfolk, VA
• 05/2017 → 11/2018
  Sii
  Virginia Beach, VA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Chesapeake, VA

Previous Registrations

• 2017-05-05 → 2018-11-02
  Signator Investors, Inc.
  Virginia Beach, VA
  Columbus, OH
  Chesapeake, VA
• 2012-05-23 → 2017-05-12
  Oppenheimer & Co. Inc.
  Virginia Beach, VA
• 2009-03-13 → 2012-05-23
  Rbc Capital Markets, Llc
  Virginia Beach, VA
• 1998-10-15 → 2009-03-13
  Ferris, Baker Watts, Llc
  Huntington, WV
  Virginia Beach, VA

Other Businesses

SIGNATURE FINANCIAL GROUP, LLC POSITION: I conduct investment and advisory business under this business name NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/20/2017 ADDRESS: 1018 Saint Brides Rd West, Chesapeake VA 23322, United States DESCRIPTION: Sales/marketing of securities and investment advisory products

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-06-16
• S63 Uniform Securities Agent State Law Examination
  1986-07-23