Unclaimed Profile

Nicole Marie Pond

TPG FINANCIAL ADVISORS, LLC·PORTLAND, Oregon

SIE, Series 7, Series 66Clean record19 years registeredTPG FINANCIAL ADVISORS, LLC

11740 SW 68TH PARKWAY, PORTLAND, OR 97223CRD# 5289604Firm CRD# 141153

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicole Marie Pond · PORTLAND, OR

Registration

CRD #5289604 · TPG FINANCIAL ADVISORS, LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: TPG FINANCIAL ADVISORS, LLC

TPG FINANCIAL ADVISORS, LLC

Oct 2013 – Jul 2021

PORTLAND, OR

PRINCOR FINANCIAL SERVICES CORPORATION

Jan 2008 – Aug 2013

LAKE OSWEGO, OR

THRIVENT INVESTMENT MANAGEMENT INC.

Apr 2007 – Dec 2007

EUGENE, OR

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · April 5, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TPG FINANCIAL ADVISORS, LLC

CRD 141153 · SEC 801-77417

AUM

$1.7B

Regulatory assets under management

Employees

1,514 client accounts

Services offered by TPG FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at TPG FINANCIAL ADVISORS, LLC →

Introduction

Speak with Nicole

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Nicole is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in PORTLAND?

Browse all registered financial advisors in PORTLAND, Oregon or claim this profile if it's yours.

Browse PORTLAND Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Nicole Marie Pond offer?

Nicole Marie Pond specializes in Financial Planning, Investment Management, Retirement Planning.

What are Nicole Marie Pond's credentials?

Nicole Marie Pond is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicole Marie Pond located?

Nicole Marie Pond is based in PORTLAND, Oregon, last registered with TPG FINANCIAL ADVISORS, LLC.

How does Nicole Marie Pond charge for services?

Nicole Marie Pond's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TPG FINANCIAL ADVISORS, LLC?

TPG FINANCIAL ADVISORS, LLC has approximately 20 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →