David R. Pondt

LOOP CAPITAL MARKETS LLC

New York, NY 10005

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CRD#: 859601

Professional summary

David Robert Pondt, who also goes by David R Pondt, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1978. David has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David R Pondt

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 David Robert Pondt'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

October 5, 2020 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 88 Pine Street 25th Floor, New York, NY 10005

RIA

CRD#: 43098

New York, NY

Past

April 6, 2020 - October 2, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

CHICAGO, IL

Past

October 27, 2014 - January 10, 2020

WELLS FARGO SECURITIES, LLC

CRD#: 126292

DALLAS, TX

Past

April 8, 2013 - October 31, 2014

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

CHICAGO, IL

Past

July 8, 2004 - February 26, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

CHICAGO, IL

Past

September 9, 1997 - July 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 8, 1996 - September 30, 1997

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

November 14, 1988 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

July 29, 1987 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

June 26, 1984 - January 4, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 27, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

State Registrations and Notice Filings

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

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

Illinois
(10/5/2020)

Texas
(10/5/2020)

Exams

State Security Law Exam

Series 63

Date: 2/11/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/8/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Mailing Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Phone number

(312) 913-4900

Established

Delaware since 06/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LOOP CAPITAL, LLC	OWNER
BERKELEY, STEPHEN SIDNEY	REGULATORY COUNSEL AND CCO	5616433
LUPKIN, IRA ADAM	CHIEF FINANCIAL OFFICER	4463446
REYNOLDS, JAMES JR.	CHIEF EXECUTIVE OFFICER	1162337
SULLIVAN, ANTHONY	CHIEF OPERATING OFFICER	5995264

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

David R. Pondt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Robert Pondt's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

WELLS FARGO SECURITIES, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

BARCLAYS CAPITAL INC.

CREDIT SUISSE SECURITIES (USA) LLC

BANCAMERICA SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1978

Series 8

Date: 7/8/1998

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LOOP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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