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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CASEY POND

Advisor at FIRST CITIZENS INVESTOR SERVICES, INC.

Hendersonville, NC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:474deb7b-a850-9062-fcf3-3438bbe7b5bc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 5, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST CITIZENS INVESTOR SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 5, 2013
First registration: Jul 5, 2013
Dual registered: yes, broker-dealer
Other names: KARL SERGEEDWARD POND|CASEY POND|KARL SERGEEDWARD POND|KARL SERGE EDWARD POND
IAPD individual key: 6190138

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Aug 24, 2017	n/a	yes	Hendersonville, NC\|CHARLOTTE, NC	Current employment
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 15, 2017	Aug 14, 2017	no	BLACK MOUNTAIN, NC\|BREVARD, NC\|RUTHERFORDTON, NC\|FOREST CITY, NC\|MARION, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Feb 18, 2015	Jun 12, 2017	no	HENDERSONVILLE, NC\|Hendersonville, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 5, 2013	Feb 20, 2015	no	HENDERSONVILLE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIFTH THIRD SECURITIES, INC.	FIRST CITIZENS INVESTOR SERVICES, INC.	Aug 14, 2017	Aug 24, 2017	10	Firm change	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	FIFTH THIRD SECURITIES, INC.	Jun 12, 2017	Jun 15, 2017	3	Firm change	Other
WELLS FARGO ADVISORS	FIRST CITIZENS INVESTOR SERVICES, INC.	Feb 20, 2015	Feb 18, 2015	-2	Firm change	Other

Relationships

Registered with (3)

→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Feb 18, 2015 to Jun 12, 2017factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 15, 2017 to Aug 14, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 5, 2013 to Feb 20, 2015factForm ADV

Dated events

No dated event names this entity yet.