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Home > Financial Services > Stock Brokers > Pond Equities.inc.
Pond Equities.inc.
Pond Equities is a member of NASD, the National Association of Securities Dealer. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Pond Equities is a registered broker dealer with the National Association of Securities Dealers. Their customer accounts are cleared on a fully disclosed basis by First Clearing Services LLC, a wholly owned guaranteed subsidiary of Wachovia Securities LLC. Pond Equities, takes certain measures in order to safeguard your personal information. Such measures include physical, electronic and procedural safeguards.
Pond Equities collects your personal information in order to comply with the know your customer regulations of the securities industry and to provide appropriate customer service to fulfil your financial needs and investment objectives. Collected information includes information required on your new account application form and related forms, such as name, address, social security number, net worth, and income Information regarding your transactions, holdings, and payment history any other information required by industry standards or regulations in order to properly service and maintain your account.
The Company has adopted policies and procedures to detect and prevent money laundering, which are summarized Pond Equities has established comprehensive anti money laundering programs that meet applicable rules and regulations in the jurisdictions where it conducts business. Pond Equities has appointed money laundering compliance officers to oversee the Firm's anti money laundering efforts.
The Company plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
The company is a very professionally managed company that believes in treating their staff as well as they treat their customers. This is because the company believes in the old saying that happy workers make for happy customers. This has proven true through the years for the company as proven by the customer retention and satisfaction as shown by the customers.
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