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EP

Eric Pond

DRIVEWEALTH
New York, NY 10005
Some features on this profile are disabled
CRD#: 6069469
EP

Professional summary

Eric Pond, who also goes by Eric Daniel Pond, is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Daniel 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Pond's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 6, 2023 - Present

DRIVEWEALTH, LLC

Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005Office #2: 28 Liberty Street 50th Floor, New York, NY 10005
BD
CRD#: 165429
New York, NY
Past

April 1, 2024 - December 17, 2025

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

January 25, 2019 - August 28, 2023

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Lake Mary, FL
Past

September 5, 2018 - January 10, 2019

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Orlando, FL
Past

September 4, 2018 - January 10, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Orlando, FL
Past

November 25, 2015 - March 1, 2018

NBC SECURITIES, INC.

RIA
CRD#: 17870
WINTER PARK, FL
Past

August 3, 2015 - March 1, 2018

NBC SECURITIES, INC.

BD
CRD#: 17870
WINTER PARK, FL
Past

August 7, 2012 - July 14, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(9/6/2023)
RR
New Jersey
(9/6/2023)
RR
New York
(3/19/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/25/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/13/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/5/2014
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm

DL
DRIVEWEALTH, LLC
DRIVEWEALTH, LLC | MYSOLOMEO, LLC

CRD#: 165429 / SEC#: , 8-69161

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
28 Liberty Street 50th Floor, New York, NY 10005
Mailing Address
28 Liberty Street 50th Floor, New York, NY 10005
Phone number
(973) 559-6750
Established
New Jersey since 05/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DRIVEWEALTH HOLDINGS, INC.SOLE MEMBER
BLANGIARDO, ALESSIOFINANCIAL & OPERATIONS PRINCIPAL5600541
ILARIO, ANTHONYCOO2262100
LAMKE, JAMES DANIELCHIEF COMPLIANCE OFFICER1418047
METZGER, BARRY SCOTTCHIEF EXECUTIVE OFFICER4719211
POND, ERICROSFP6069469
QUINONES, VINCENT JOSEPHHEAD OF EXECUTION SERVICES4308610

Disclosures

Regulatory Event1

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.

Company Information

DRIVEWEALTH, LLC

CRD#: 165429New York, NY 10005

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