Mark P. Pompeo

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CRD#: 1897147

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.

Mark Peter Pompeo was a registered financial advisor .

Mark is a previously registered financial advisor and started their career in finance in 1988. Mark had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

September 24, 2012 - January 30, 2015

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

WEYMOUTH, MA

Past

September 24, 2012 - January 30, 2015

CITIZENS SECURITIES, INC.

CRD#: 39550

WEYMOUTH, MA

Past

September 22, 2011 - September 18, 2012

OCEAN CROSS WEALTH MANAGEMENT LLC

RIA

CRD#: 141388

HULL, MA

Past

September 22, 2011 - September 18, 2012

OCEAN CROSS CAPITAL MARKETS LLC

CRD#: 156256

WESTPORT, CT

Past

April 6, 2010 - September 22, 2011

SOUTHRIDGE WEALTH MANAGEMENT LLC

RIA

CRD#: 136707

WEYMOUTH, MA

Past

January 8, 2010 - September 22, 2011

SOUTHRIDGE INVESTMENT GROUP LLC

CRD#: 45531

RIDGEFIELD, CT

Past

April 18, 2008 - January 14, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

HINGHAM, MA

Past

April 11, 2008 - January 14, 2010

LPL FINANCIAL LLC

CRD#: 6413

HINGHAM, MA

Past

August 31, 2006 - April 11, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PLYMOUTH, MA

Past

July 23, 2004 - August 31, 2006

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

PLYMOUTH, MA

Past

July 16, 2004 - August 31, 2006

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

PLYMOUTH, MA

Past

October 1, 1999 - July 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NORWELL, MA

Past

October 1, 1999 - July 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 29, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 7, 1994 - November 2, 1998

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 6, 1992 - January 17, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

February 21, 1989 - March 9, 1992

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

Past

November 23, 1988 - March 9, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CITIZENS SECURITIES, INC.

CRD#: 39550 / SEC#: 801-61902, 8-48744

RIA

Registered Investment Advisory firm - SEC (3/27/2003 Approved)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Florida

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Maine

Registered Investment Advisory firm - SEC (4/14/2003 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (3/31/2002 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/8/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (4/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/30/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/11/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/10/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/20/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

CITIZENS SECURITIES, INC.

CRD#: 39550 / SEC#: 801-61902, 8-48744

RIA

Registered Investment Advisory firm - SEC (3/27/2003 Approved)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Florida

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Maine

Registered Investment Advisory firm - SEC (4/14/2003 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (3/31/2002 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/8/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (4/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Citizens Bank Way Jcb135, Johnston, RI 02043

Mailing Address

200 Station Drive Mws414, Westwood, MA 02090

Phone number

(781) 364-1641

Established

Rhode Island since 09/21/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

418

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

Regulatory assets under management

Total Number of Accounts	53,044
AUM (Assets Under Management)	$ 9,188,004,183

Disclosures

Regulatory Event	16
Arbitration	6

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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Advisor Monitoring

Firm Stability Insights

Mark P. Pompeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

OCEAN CROSS WEALTH MANAGEMENT LLC

OCEAN CROSS CAPITAL MARKETS LLC

SOUTHRIDGE WEALTH MANAGEMENT LLC

SOUTHRIDGE INVESTMENT GROUP LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

LEGG MASON WOOD WALKER, INCORPORATED

GRUNTAL & CO., L.L.C.

DETWILER FENTON & CO.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2000

Series 63

Date: 12/2/1988

SIE

Date: 1/30/2015

Series 31

Date: 2/11/2004

Series 7

Date: 11/19/1988

Series 9

Date: 11/10/2004

Series 10

Date: 8/20/2004

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

TRUST BUT VERIFY

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