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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Brian Ray Pond

Advisor at U.S. BANCORP ADVISORS, LLC

Tempe, AZ | Phoenix, AZ

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Search this name across graphsid dfx:ria:f0dbdc48-6271-4b65-33aa-0b0f577aa89d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Feb 7, 2007 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: U.S. BANCORP ADVISORS, LLC
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: Apr 8, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Apr 8, 2004
First registration: Feb 7, 2007
Dual registered: yes, broker-dealer
Other names: Brian Ray Pond|Brian R Pond|Brian R Pond
IAPD individual key: 2361659

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
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Tempe, AZ\|Phoenix, AZ	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Nov 5, 2024	Feb 13, 2026	no	Tempe, AZ\|Phoenix, AZ	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Sep 26, 2023	Nov 4, 2024	no	Tempe, AZ\|Phoenix, AZ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	Sep 26, 2023	no	TEMPE, AZ	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Aug 29, 2019	Jul 19, 2023	no	TEMPE, AZ\|OMAHA, NE	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 22, 2018	Jul 29, 2019	no	Madison, WI	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 22, 2017	May 18, 2018	no	MIDDLETON, WI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 13, 2009	Oct 11, 2016	no	ROCKFORD, IL\|LOVES PARK, IL\|LOVES PARK, IL	Previous registration
EDWARD JONES	National bd RIA	Feb 7, 2007	Oct 1, 2009	no	ROCKFORD, IL	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
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
U.S. BANCORP ADVISORS, LLC	U.S. BANCORP INVESTMENTS, INC.	Nov 4, 2024	Nov 5, 2024	1	Firm change	Ibd to ibd
LPL FINANCIAL LLC	U.S. BANCORP ADVISORS, LLC	Sep 26, 2023	Sep 26, 2023	0	Firm change	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
MML INVESTORS SERVICES, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Jul 29, 2019	Aug 29, 2019	31	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	MML INVESTORS SERVICES, LLC	May 18, 2018	Jun 22, 2018	35	Firm change	Ibd to ibd
LPL FINANCIAL LLC	STRATEGIC ADVISERS LLC	Oct 11, 2016	May 22, 2017	223	Firm change	Other
EDWARD JONES	LPL FINANCIAL LLC	Oct 1, 2009	Oct 13, 2009	12	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14455:17868:AZ:2024-11-04	Nov 4, 2024	Nov 5, 2024	PHOENIX, AZ	Firm change

Relationships

Registered with (7)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 26, 2023 to Nov 4, 2024factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 5, 2024 to Feb 13, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Sep 26, 2023factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Aug 29, 2019 to Jul 19, 2023factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 22, 2018 to Jul 29, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 22, 2017 to May 18, 2018factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 7, 2007 to Oct 1, 2009factForm ADV

Dated events

Occurred
Nov 4, 2024
Advisor changed firm
Brian Ray Pond left U.S. Bancorp Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2024-11-05)
Form ADVobserved 4 days ago
Occurred
Sep 26, 2023
Advisor changed firm
Brian Ray Pond left Lpl Financial Llc for U.S. Bancorp Advisors, Llc (registered 2023-09-26)
Form ADVobserved 4 days ago