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Inactive

Stephen K. Pomposi

Mariner

Wilmington, DE

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2022-09-06
PA RA APPROVED 2022-08-17
  • DE RA
    APPROVED
    Since 2022-09-06
  • PA RA
    APPROVED
    Since 2022-08-17

Branch Locations

410 Foulk Road Suite 200A, Wilmington, DE 19803 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. North Haven CT 10/2014 09/2017
Jpmorgan Chase Bank Na Newark DE 09/2017 08/2022
Jpmorgan Securities Llc Newark DE 09/2017 08/2022
Mariner Wealth Advisors Wilmington DE 08/2022 Present
  • 10/2014 → 09/2017
    Ameriprise Financial Services, Inc.
    North Haven, CT
  • 09/2017 → 08/2022
    Jpmorgan Chase Bank Na
    Newark, DE
  • 09/2017 → 08/2022
    Jpmorgan Securities Llc
    Newark, DE
  • 08/2022 → Present
    Mariner Wealth Advisors
    Wilmington, DE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-24
S66 Uniform Combined State Law Examination 2016-06-16
  • S65 Uniform Investment Adviser Law Examination
    2022-10-24
  • S66 Uniform Combined State Law Examination
    2016-06-16
Other Names
  • Stephen Keith Pomposi

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
KINGSVIEW WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

LORI ANN RUTKOWSKI
ROBERT GEORGE ZIEGLER
GERARD PHILLIPPE VIARS
STEPHEN CRAIG MCDERMOTT
BRENT CHRISTOPHER FUCHS
Michelle Keiko Mullinix
ABBY LEIGH PUBUSKY
Sophie Schroyer

Other Offices

OSAIC WEALTH, INC. · WILMINGTON, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Wilmington, DE
KINGSVIEW WEALTH MANAGEMENT, LLC · Wilmington, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, DE
PNC WEALTH MANAGEMENT LLC · WILMINGTON, DE
EDWARD JONES · WILMINGTON, DE

More in Wilmington, DE

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