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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Michael Pompan is a financial advisor registered with Morgan Stanley. Steven has been in the financial services industry since April 13, 2000. Steven Michael Pompan is licensed in Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Massachusetts, Michigan, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, Oregon, Pennsylvania, Tennessee, Texas, Virginia, and Washington. Steven Michael Pompan has passed the Series 66, Series 7, and SIE exams. Steven Michael Pompan also owns A&L ASSOCIATES LLC. Morgan Stanley is a financial services company that offers a wide range of products and services to individuals, institutions, and corporations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/11/2014 - Present
Morgan Stanley (Los Angeles CA)
CA
11/02/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
08/06/2004 - 11/05/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
NJ
04/14/2000 - 09/03/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 04/20/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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