SP
SP
Steven Pompan
25 Years of Experience
Los Angeles, CA
2 DisclosuresBroker
Steven Pompan is a registered investment advisor at Morgan Stanley, based in Los Angeles, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
10960 Wilshire Boulevard, Suite 2000, Los Angeles, CA, 90024
Get directionsHistory
Regulatory History (2)
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Customer Dispute
February 2021Denied
Customer Dispute
November 2010Settled
Other Business Activities
Steven is an owner of A&L Associates LLC, a real estate investment firm, since 2012. He spends minimal time during business hours and a few hours per week after business hours on administrative tasks, investment decisions, and property management.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
November 2007 - June 2009 · 1 yr 7 mos
Citigroup Global Markets INC.Broker
November 2007 - June 2009 · 1 yr 7 mos
Banc of America Investment Services, INC.Broker
August 2004 - November 2007 · 3 yrs 3 mos
Banc of America Investment Services, INC.
August 2004 - November 2007 · 3 yrs 3 mos
UBS Financial Services INC.
June 2000 - September 2004 · 4 yrs 3 mos
UBS Financial Services INC.Broker
April 2000 - September 2004 · 4 yrs 5 mos
State Registrations22 states
AZCACOFLGAIDILMAMDMINENHNJNMNVNYORPATNTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.