John Pomeroy, financial advisor Hauppauge NY
83 score

John Pomeroy

CRD Number: 3154217
Current Firm: Wells Fargo Advisors Financial Network, LLC

John Pomeroy (CRD# 3154217) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Hauppauge, NY and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network LLC Hauppauge, NY Feb 2010 - Current 6
Citigroup Global Markets Inc. Bay Shore, NY May 2007 - Feb 2010 2
Citicorp Investment Services Bayshore, NY Sep 2000 - Oct 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1999
S65 NASAA Investment Advisors Law Examination Feb 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John A. Pomeroy
Phone Number: 314-875-3000
Firm Website: http://www.wachovia.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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