Nicole M. Pond
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.
Nicole Marie Pond, who also goes by Nicole Marie Mattingly, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2007. Nicole had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2013 - July 8, 2021
TPG FINANCIAL ADVISORS, LLC
August 5, 2013 - June 4, 2019
GENEOS WEALTH MANAGEMENT, INC.
January 30, 2008 - August 5, 2013
PRINCIPAL SECURITIES, INC.
January 29, 2008 - August 5, 2013
PRINCIPAL SECURITIES, INC.
April 5, 2007 - December 7, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
March 20, 2007 - December 7, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,587 |
| AUM (Assets Under Management) | $ 1,964,622,586 |
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.
