Branch offices
0 offices
FINRA: Small firm
CRD #30934 · FINRA BrokerCheck + SEC IAPD
Pond Equities
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pond Equities ranks #424 of 20,055 by disclosure count (most disclosures first). Pond Equities carries 16 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 16
- disclosures
- #424 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 30934 Pond Equities
Pond Equities · Grade D · 16 disc · 16.00/office · Single-office firm
- CRD 30934
- GRADE D
- DISC 16
- REG 15
- ARB 0
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #424 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Bishop, Rosen & Co., Inc. (16.00 disc/office)
Pond Equities ranks #424 of 20,055 by disclosure count among graded broker-dealers; heavy load at 16.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
16 events
On FINRA BrokerCheck
Regulatory events
15 actions
94% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 15 |
| Arbitrations | 0 |
| Civil Events | 1 |
| Total | 16 |
Counts for Pond Equities reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 15 Arbitration 0 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 09/02/1992
- State of Formation
- New York
- CRD Number
- 30934
- SEC Number
- 45251
Regulator-heavy mix
Pond Equities in the heavier-disclosure third
Pond Equities carries 16 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#424 of 20,055). Regulator-initiated events are 94% of the book (15 regulatory / 0 arbitration / 1 civil).
94% of Pond Equities's 16 disclosures are regulator-initiated (15 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Pond Equities's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Pond Equities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pond Equities ranks #424 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Pond Equities?
A grade of D reflects Pond Equities's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 16 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Pond Equities have?
Pond Equities has 16 total FINRA disclosures, including 15 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pond Equities?
Pond Equities operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Pond Equities's disciplinary record?
You can verify Pond Equities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30934. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Pond Equities's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Pond Equities because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Pond Equities carries 16 disclosures across 0 branch offices (about 16.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Bishop, Rosen & Co., Inc. - 16.00 disclosures/office, nearest single-office firm peer to Pond Equities's 16.00
- Brookstone Securities, Inc. - 16.00 disclosures/office, nearest single-office firm peer to Pond Equities's 16.00
- Brookville Capital Partners - 16.00 disclosures/office, nearest single-office firm peer to Pond Equities's 16.00
- Red Flags in Advisor Records - How to read Pond Equities's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 16 disclosures behind Pond Equities's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Pond Equities.
- Compare firms - put Pond Equities next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.