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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

ROBERT FRANK PONDT

Advisor at CITIGROUP GLOBAL MARKETS INC.

Moorpark, CA | Pasadena, CA | Westlake Village, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 24, 1998 to Sep 15, 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: CITIGROUP GLOBAL MARKETS 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: Aug 6, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 6, 1986
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: ROBERT F PONDT|ROBERT FRANK PONDT|ROBERT FRANK PONDT JR
IAPD individual key: 1524457

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
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 28, 2016	n/a	yes	Pasadena, CA\|Westlake Village, CA\|Moorpark, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 20, 2008	Apr 25, 2016	no	LOS ANGELES, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, CA\|THOUSAND OAKS, CA\|THOUSAND OAKS, CA\|OAK PARK, CA\|THOUSAND OAKS, CA\|WESTLAKE VILLAGE, CA\|AGOURA HILLS, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Apr 4, 2008	no	GLENDALE, CA\|WESTLAKE VILLAGE, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Jun 21, 2004	May 29, 2007	no	THOUSAND OAKS, CA\|CAMARILLO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Apr 20, 2004	no	THOUSAND OAK, CA	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
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Apr 25, 2016	Apr 28, 2016	3	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Apr 4, 2008	Mar 20, 2008	-15	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITICORP INVESTMENT SERVICES	Apr 20, 2004	Jun 21, 2004	62	Firm change	Other

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Apr 4, 2008factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 20, 2008 to Apr 25, 2016factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Jun 21, 2004 to May 29, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Apr 20, 2004factForm ADV

Dated events

No dated event names this entity yet.