Michael M. Pompian

SUNPOINTE INVESTMENTS

St. Louis, MO 63105

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CRD#: 1827742

Professional summary

Michael Matthew Pompian, CFA, CFP® is a registered financial advisor currently at SUNPOINTE INVESTMENTS located in St. Louis, Missouri.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Michael has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. JOHN WILEY AND SONS, NO, 10475 CROSSPOINT BLVD, STE 100, INDIANAPOLIS, IN 46256, AUTHOR/ PUBLISHING, 5/1/2021, 2 HRS/ MONTH, 0 HRS/ MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Matthew Pompian's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

February 11, 2016 - Present

SUNPOINTE INVESTMENTS

Office #1: 8301 Maryland Avenue Suite 300, St. Louis, MO 63105

RIA

CRD#: 282505

St. Louis, MO

Past

June 13, 2006 - March 30, 2011

HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING

RIA

CRD#: 106845

ST. LOUIS, MO

Past

July 8, 2004 - November 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BRIDGEWATER TOWNSHIP, NJ

Past

June 14, 2004 - November 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 10, 2001 - June 25, 2004

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

March 5, 1991 - May 10, 1991

VERAVEST INVESTMENTS, INC.

CRD#: 3960

Past

May 29, 1990 - February 4, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

May 29, 1990 - February 4, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

September 27, 1989 - November 2, 1989

PACIFIC GROWTH EQUITIES, LLC

CRD#: 24835

Past

May 26, 1988 - February 9, 1989

NEEDHAM & COMPANY, LLC

CRD#: 16360

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUNPOINTE INVESTMENTS

SUNPOINTE | SUNPOINTE, LLC | SUNPOINTE INVESTMENTS

CRD#: 282505 / SEC#: 801-118361

RIA

Registered Investment Advisory firm - (4/1/2020 Approved)

Florida

Registered Investment Advisory firm - (4/6/2020 Terminated)

Michigan

Registered Investment Advisory firm - (4/7/2020 Terminated)

Missouri

Registered Investment Advisory firm - (4/6/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/9/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (4/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(3/19/2019)

IAR

Missouri
(2/11/2016)

IAR

Texas
(6/8/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/6/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/11/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/8/2001

General Securities Representative Examination

Current Firm

SUNPOINTE INVESTMENTS

SUNPOINTE | SUNPOINTE, LLC | SUNPOINTE INVESTMENTS

CRD#: 282505 / SEC#: 801-118361

RIA

Registered Investment Advisory firm - (4/1/2020 Approved)

Florida

Registered Investment Advisory firm - (4/6/2020 Terminated)

Michigan

Registered Investment Advisory firm - (4/7/2020 Terminated)

Missouri

Registered Investment Advisory firm - (4/6/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/9/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (4/1/2020 Terminated)

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Contact information

Main Address

8301 Maryland Avenue Suite 300, St. Louis, MO 63105

Mailing Address

Phone number

(314) 880-0821

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 559,202,794

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/25/2023	Cover Page	Report
11/22/2022	Cover Page	Report

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.

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Michael M. Pompian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Matthew Pompian's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC CAPITAL MARKETS LLC

VERAVEST INVESTMENTS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

PACIFIC GROWTH EQUITIES, LLC

NEEDHAM & COMPANY, LLC

Primary Firm SEC Registration

SUNPOINTE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2004

Series 66

Date: 7/6/2004

Series 63

Date: 5/13/1988

SIE

Date: 12/15/2020

Series 3

Date: 12/11/2012

Series 7

Date: 9/8/2001

Current Firm

SUNPOINTE INVESTMENTS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SUNPOINTE INVESTMENTS

TRUST BUT VERIFY

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