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Detailed Report
Stephen K. Pomposi
STEPHEN KEITH POMPOSI
CRD#: 6417589
IA
Investment Adviser
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Previous Broker
MARINER WEALTHCRD#: 140195 410 Foulk Road
Suite 200A
Wilmington, DE 19803
Registration History
20162017201820192020202120222023202420252026IAMARINER WEALTH (CRD# 140195)2022 - Present (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - 2022 (4 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2016 - 2017 (1 year)
License(s)

State Registrations

IA
Delaware 9/6/2022
IA
Pennsylvania 8/17/2022
Current Registration(s)
IA
MARINER WEALTH (CRD#:140195)
410 Foulk Road Suite 200A, Wilmington, DE 19803
Registered with this firm since 8/17/2022
Previous Registration(s)
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 11/03/2017 - 08/06/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Newark, DE
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 05/02/2016 - 10/31/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) NORTH HAVEN, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.