| Advisor Profile |
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| Name: |
Mark Pond, CFP(r), CRPS |
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Business Description |
With approximately 14,133 Financial Advisors in 764 offices worldwide, Smith Barney offers a full suite of investment services, including asset allocation, private investments and lending services, hedge funds, cash and portfolio management, as well as retirement, education and estate planning. A division of Citigroup Global Markets Inc., Smith Barney currently has close to 9 million domestic client accounts, representing approximately $1.323 trillion in client assets*.
* As of November 3, 2008. |
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General Information |
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| Name of Broker/Dealer: |
Citigroup Global Markets
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| States Licensed in: |
TX, CA, CO, VA, AR, KS
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| Years of Experience in Financial Services: |
6
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| Number of Years with Current Firm: |
1
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| Work Experience: |
Mark M. Pond is a CERTIFIED FINANCIAL PLANNER™, Chartered Retirement Plans Specialist and Financial Planning Specialist. After graduating with a Bachelor of Business Administration from the University of Texas at Austin, Mark began his career managing a multi-state business territory for a Fortune 500 company and subsequently brought his consulting background to the financial services industry. After five years of providing wealth management advisory services at UBS Financial Services Inc., Mark joined Smith Barney in The Woodlands, Texas and currently focuses on financial planning and sophisticated investment strategies for individuals as well as retirement plans for small and mid-sized businesses.
Mark is experienced at providing advice in the areas of retirement and education planning, asset allocation, alternative investments, portfolio and liability management, executive strategies such as 10b5-1 trading plans and working with attorneys to develop comprehensive estate plans. Each situation is unique and an initial consultation is always complimentary. Mark is a fee-based advisor and is dedicated to identifying a structure that is appropriate for each client.
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| I work with the following types of clients: |
Investment Clubs, Businesses, Individual Investors, Non-Profit Organizations
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Education |
| Academic Background |
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| BBA, The University of Texas at Austin |
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Services |
| Investment Types: |
Mortgages & Real Estate, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, Options & Futures, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Retirement Plans Specialist (CRPS®)
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| Securities Licenses: |
Series 7, Series 31, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Variable Annuity, Long Term Care, Annuity, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
100 - 999 employees
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| Assets Managed by Firm: |
$1.32 Trillion
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Commissions, Based on Assets
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| Fee % Based on Assets: |
.75% - 2%
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| Prepared By: |
Mark Pond, CFP(r), CRPS |
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