BP
Brian R. Pond
U.S. BANCORP INVESTMENTS
Tempe, AZ 85288
Some features on this profile are disabled
CRD#: 2361659
BP
Professional summary
Brian Ray Pond, who also goes by Brian R Pond, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Tempe, Arizona.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Brian has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian R Pond
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 05/01/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)
CRS (Client Relationship Summary) - RIA
Click below to view Brian Ray Pond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Ray Pond's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1101 W Washington St, Tempe, AZ 85288RIA
BD
CRD#: 17868
Tempe, AZ
Current
November 5, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1101 W Washington St, Tempe, AZ 85288RIA
BD
CRD#: 17868
Tempe, AZ
Past
September 26, 2023 - November 4, 2024
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
TEMPE, AZ
Past
September 26, 2023 - November 4, 2024
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
TEMPE, AZ
Past
July 19, 2023 - September 26, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
TEMPE, AZ
Past
July 19, 2023 - September 26, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
TEMPE, AZ
Past
August 29, 2019 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
TEMPE, AZ
Past
August 27, 2019 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
TEMPE, AZ
Past
June 22, 2018 - July 29, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MADISON, WI
Past
June 18, 2018 - July 29, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MADISON, WI
Past
May 22, 2017 - May 18, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MIDDLETON, WI
Past
May 3, 2017 - May 18, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MIDDLETON, WI
Past
October 12, 2016 - April 10, 2017
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
FITCHBURG, WI
Past
October 13, 2009 - October 11, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOVES PARK, IL
Past
October 13, 2009 - October 11, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
LOVES PARK, IL
Past
February 7, 2007 - October 1, 2009
EDWARD JONES
RIA
CRD#: 250
ROCKFORD, IL
Past
April 6, 2004 - October 1, 2009
EDWARD JONES
BD
CRD#: 250
ROCKFORD, IL
Past
June 25, 1993 - December 20, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/5/2024)
RR
Alaska(11/5/2024)
RR
Arizona(11/5/2024)
IAR
Arizona(11/19/2024)
RR
Arkansas(11/5/2024)
RR
California(11/5/2024)
RR
Colorado(11/5/2024)
RR
Connecticut(11/5/2024)
RR
Delaware(11/5/2024)
RR
District of Columbia(11/5/2024)
RR
Florida(11/5/2024)
RR
Georgia(11/5/2024)
RR
Hawaii(11/5/2024)
RR
Idaho(11/5/2024)
RR
Illinois(11/21/2024)
RR
Indiana(11/5/2024)
RR
Iowa(11/5/2024)
RR
Kansas(11/5/2024)
RR
Kentucky(11/5/2024)
RR
Louisiana(11/5/2024)
RR
Maine(11/5/2024)
RR
Maryland(11/5/2024)
RR
Massachusetts(11/5/2024)
RR
Michigan(11/5/2024)
RR
Minnesota(11/5/2024)
RR
Mississippi(11/5/2024)
RR
Missouri(11/5/2024)
RR
Montana(11/5/2024)
RR
Nebraska(11/5/2024)
RR
Nevada(11/5/2024)
RR
New Hampshire(11/5/2024)
RR
New Jersey(11/5/2024)
RR
New Mexico(11/5/2024)
RR
New York(11/5/2024)
RR
North Carolina(11/5/2024)
RR
North Dakota(11/5/2024)
RR
Ohio(11/5/2024)
RR
Oklahoma(11/5/2024)
RR
Oregon(11/5/2024)
RR
Pennsylvania(11/5/2024)
RR
Puerto Rico(11/5/2024)
RR
Rhode Island(11/5/2024)
RR
South Carolina(11/5/2024)
RR
South Dakota(11/5/2024)
RR
Tennessee(11/5/2024)
RR
Texas(11/5/2024)
IAR
Texas(11/5/2024)
RR
Utah(11/5/2024)
RR
Vermont(11/5/2024)
RR
Virginia(11/5/2024)
RR
Washington(11/5/2024)
RR
West Virginia(11/5/2024)
RR
Wisconsin(11/5/2024)
RR
Wyoming(11/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
