Steven M. Pomaville
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Mark Pomaville was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 12 firms and has passed the Series 66, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 22, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2016 - April 5, 2021
COMERICA SECURITIES
January 12, 2016 - April 5, 2021
COMERICA SECURITIES
May 20, 2013 - September 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 16, 2013 - September 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 19, 2012 - June 4, 2013
CIG ASSET MANAGEMENT, INC.
June 18, 2012 - March 26, 2013
CIG SECURITIES
October 1, 2008 - April 13, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - April 13, 2012
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 13, 2001 - July 1, 2006
BANC ONE SECURITIES CORPORATION
May 2, 2001 - August 17, 2001
FIFTH THIRD SECURITIES, INC.
April 5, 2000 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
March 17, 1999 - September 27, 2006
BANC ONE SECURITIES CORPORATION
March 2, 1999 - August 18, 1999
BANC ONE SECURITIES CORPORATION
June 2, 1986 - November 2, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 2, 1986 - November 2, 1993
SIGNATOR INVESTORS, INC.
October 24, 1985 - May 5, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
