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Nicholas G Pond

Investment adviser representative at Legacy Wealth Management, LLC
11 yearsExperience
1 stateRegistered in
$629MFirm assets
8 yearsFirm in business

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How the firm charges

Fee types in the public filing. This advisor may not use all of them.

Percentage of assetsFixed or flat feePerformance-basedOther

Services the firm offers

These describe the firm as a whole, not only this advisor.

  • Financial planning
  • Portfolio management

Experience

11 years in the industry.

  1. Legacy Wealth Management, LLCSep 2024 to now
  2. Usi Insurance ServicesJun 2023 to Sep 2024
  3. Diversified InsuranceMay 2022 to Jun 2023
  4. Direct HealthMar 2021 to May 2022
  5. State FarmOct 2018 to Mar 2021
  6. Insys TherapueticsMay 2015 to Oct 2018

Exams passed

  • Series 65 · Uniform Investment Adviser Law2024

State registrations

Registered as an investment adviser representative in 1 state (CA).

Legacy Wealth Management, LLC

$629MAssets managed
3,416Clients
45Advisers
8 yearsIn business

Official records

SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.

Individual CRD
7257005
Firm CRD
174767
Advisor's SEC record (opens in a new tab)
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