Samuel D. Pond

KEENER FINANCIAL PLANNING

Keller, TX 76248

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CRD#: 6826918

Professional summary

Samuel David Pond, CFP® is a registered financial advisor currently at KEENER FINANCIAL PLANNING located in Keller, Texas.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Samuel has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Advisory services are offered through Keener Financial Planning, LLC, an investment adviser registered with the U.S. Securities & Exchange Commission.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Pond is a member of GPN Alliance, Inc., a 501(c)6 corporation that owns the Garrett Planning Network, LLC. He spends approximately two (2) hours per month on this endeavor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel David 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

May 19, 2021 - Present

KEENER FINANCIAL PLANNING

Office #1: 1692 Keller Parkway, Keller, TX 76248

RIA

CRD#: 147615

Keller, TX

Past

June 3, 2019 - May 14, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

DALLAS, TX

Past

June 3, 2019 - May 14, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DALLAS, TX

Past

January 4, 2018 - February 15, 2018

DFPG INVESTMENTS, LLC

RIA

CRD#: 155576

Sandy, UT

Past

July 17, 2017 - February 15, 2018

DFPG INVESTMENTS, LLC

CRD#: 155576

Sandy, UT

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".

KEENER FINANCIAL PLANNING

KEENER FINANCIAL PLANNING | KEENER FINANCIAL PLANNING, LLC

CRD#: 147615 / SEC#: 801-115127

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Texas

Registered Investment Advisory firm - (2/12/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/19/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/17/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2017

General Securities Representative Examination

Current Firm

KEENER FINANCIAL PLANNING

KEENER FINANCIAL PLANNING | KEENER FINANCIAL PLANNING, LLC

CRD#: 147615 / SEC#: 801-115127

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Texas

Registered Investment Advisory firm - (2/12/2020 Terminated)

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Contact information

Main Address

1692 Keller Parkway, Keller, TX 76248

Mailing Address

Phone number

(817) 993-0401

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (1/15/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 362,780,822

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.

Contact information

(xxx) xxx-xxxx

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Samuel D. Pond

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel David Pond's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

DFPG INVESTMENTS, LLC

DFPG INVESTMENTS, LLC

Primary Firm SEC Registration

KEENER FINANCIAL PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2017

SIE

Date: 2/15/2018

Series 7

Date: 7/17/2017

Current Firm

KEENER FINANCIAL PLANNING

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEENER FINANCIAL PLANNING

TRUST BUT VERIFY

Contact information

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