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CHRISTOPHER E POMPEY
CHRISTOPHER E. POMPEY, CHRISTOPHER EUGENE POMPEY, Christopher Pompey
CRD#: 4797611
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 4611 SHARON ROAD
TWO COLTSGATE
CHARLOTTE, NC 28211
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 4611 SHARON ROAD
TWO COLTSGATE
CHARLOTTE, NC 28211
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BALIGHT FINANCIAL SOLUTIONS, LLC (CRD# 36509)2013 - 2022 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2012 (2 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2008 - 2009 (<1 year)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2005 - 2008 (3 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2004 - 2005 (<1 year)BMONY SECURITIES CORPORATION (CRD# 4386)2004 - 2004 (<1 year)IAALIGHT FINANCIAL ADVISORS, LLC (CRD# 158744)2015 - 2022 (6 years)
Disclosure(s)
View By:
1/28/2016
Judgment / Lien
License(s)

State Registrations

B
California 5/25/2022

B
North Carolina 5/24/2022

B
Colorado 5/25/2022

IA
North Carolina 6/6/2022

B
Connecticut 5/25/2022

B
Ohio 1/30/2024

B
Florida 5/25/2022

B
Rhode Island 6/2/2022

B
Georgia 5/25/2022

B
South Carolina 5/26/2022

B
Illinois 6/2/2022

B
South Dakota 7/25/2024

B
Indiana 6/22/2022

B
Tennessee 5/25/2022

B
Michigan 5/27/2022

IA
Texas 1/12/2024

B
New Jersey 5/25/2022

B
Virginia 5/25/2022

B
New York 5/25/2022

B
West Virginia 5/26/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
4611 SHARON ROAD TWO COLTSGATE, CHARLOTTE, NC 28211
Registered with this firm since 6/6/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
4611 SHARON ROAD TWO COLTSGATE, CHARLOTTE, NC 28211
CHARLOTTE, NC
Registered with this firm since 5/24/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/27/2015 - 03/23/2022 ALIGHT FINANCIAL ADVISORS, LLC (CRD#:158744) CHARLOTTE, NC
B
04/09/2013 - 03/23/2022 ALIGHT FINANCIAL SOLUTIONS, LLC (CRD#:36509) CHARLOTTE, NC
B
06/10/2010 - 07/03/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
10/03/2008 - 03/18/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHARLOTTE, NC
B
07/19/2005 - 08/12/2008 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) CHARLOTTE, NC
B
08/10/2004 - 06/27/2005 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
B
06/04/2004 - 08/06/2004 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.