Nicholas Pond has been an investment adviser representative at Legacy Wealth Management since November 2024, and is not listed among the firm’s executive officers or direct owners.
Legacy Wealth Management, LLC is a Boise, ID firm with $629M under management, 3,416 clients and 39 advisers across 22 offices, as of its May 2026 filing.
- – present · 1 yearCosta Mesa, CA · Adviser representative · Firm CRD 174767
Investment adviser representative registrations
Nicholas Pond is registered as an investment adviser representative in California, since November 2024.
- CaliforniaSince 12 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 November 2024 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicholas G Pond
- CRD
- 7257005
- Firm
- Legacy Wealth Management · CRD 174767
- Office
- Costa Mesa, CA
- Registration
- Investment adviser registration
- In the industry since
- November 2024
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Pond work?
Nicholas Pond is an investment adviser representative registered through Legacy Wealth Management, LLC since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Pond a financial advisor?
Yes. Nicholas Pond has a current investment-adviser registration in California, through Legacy Wealth Management since November 2024.
How many years of experience does Nicholas Pond have?
Nicholas Pond has 1 year in the financial industry, since November 2024, across 1 adviser firm.
What exams has Nicholas Pond passed?
Nicholas Pond passed the Series 65 in November 2024.
Where is Nicholas Pond based?
Nicholas Pond’s registered office is in Costa Mesa, CA.
Is Nicholas Pond registered with FINRA?
No. Nicholas Pond has no current broker registration.
How can I verify Nicholas Pond’s record?
Search CRD 7257005 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Pond’s full registration record.
