Mark W. Ponder
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Wayne Ponder was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2017 - January 5, 2018
MCAP LLC
July 6, 2015 - August 5, 2016
CANTOR FITZGERALD & CO.
April 13, 2004 - July 7, 2015
WELLS FARGO SECURITIES, LLC
August 11, 2000 - April 21, 2004
BANC OF AMERICA SECURITIES LLC
October 21, 1998 - August 11, 2000
GLEACHER & COMPANY SECURITIES, INC.
August 5, 1987 - December 31, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MCAP LLC
CRD#: 139515 / SEC#: , 8-67217
Contact information
FINRA licenses (19 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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