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Dennis David Pompa

Charles Schwab & Co., Inc.

Franklin, TN

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
TN RA APPROVED 2012-07-10
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • TN RA
    APPROVED
    Since 2012-07-10

Branch Locations

520 Cool Springs Blvd, Franklin, TN 37067 • 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
Charles Schwab & Co., Inc. Franklin TN 02/1995 Present
Charles Schwab Bank Franklin TN 02/2005 Present
Battle Of Franklin Trust Franklin TN 01/2011 01/2024
  • 02/1995 → Present
    Charles Schwab & Co., Inc.
    Franklin, TN
  • 02/2005 → Present
    Charles Schwab Bank
    Franklin, TN
  • 01/2011 → 01/2024
    Battle Of Franklin Trust
    Franklin, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-07
S63 Uniform Securities Agent State Law Examination 1995-08-01
  • S65 Uniform Investment Adviser Law Examination
    1997-03-07
  • S63 Uniform Securities Agent State Law Examination
    1995-08-01
Other Names
  • Dennis David Pompa
  • Dennis David Pompa

View on SEC IAPD

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Other Offices

SAGESPRING WEALTH PARTNERS · Franklin, TN
D.A. DAVIDSON & CO. · FRANKLIN, TN
LPL FINANCIAL LLC · FRANKLIN, TN
EQUITABLE ADVISORS, LLC · FRANKLIN, TN
ONEDIGITAL · Franklin, TN
ONEDIGITAL · FRANKLIN, TN
EDWARD JONES · FRANKLIN, TN
EFINANCIAL ALLIANCE, LLC · FRANKLIN, TN

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