Mark Jay Pomerantz

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 11/2020
  Morgan Stanley Smith Barney Llc
  Santa Monica, CA
• 01/2015 → 11/2020
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 11/2020 → Present
  Raymond James & Associates
  Los Angeles, CA

Previous Registrations

• 2009-06-01 → 2020-12-09
  Morgan Stanley
  Santa Monica, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Santa Monica, CA
• 1998-11-02 → 2007-04-02
  Morgan Stanley Dw Inc.
  Santa Monica, CA
  Santa Monica, CA

Other Businesses

(1)Name of Business: Address: 2514 Euclid Street Apt.3, Santa Monica, CA, 90405, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 12/01/1986 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Manage apartment building

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-09-29
• S63 Uniform Securities Agent State Law Examination
  1981-01-28