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MP

Michael Pompeo

FUTU CLEARING
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 2556868
MP

Professional summary

Michael Pompeo, who also goes by Michael Salvatore Pompeo, Mike Pompeo, is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 10 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Salvatore Pompeo | Mike Pompeo

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) - BD

Click below to view Michael Pompeo's 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®
None

Experience

Current

June 28, 2022 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251
BD
CRD#: 298769
Dallas, TX
Past

January 23, 2020 - May 5, 2022

ROBINHOOD SECURITIES, LLC

BD
CRD#: 287900
LAKE MARY, FL
Past

September 14, 2019 - May 5, 2022

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Lake Mary, FL
Past

August 29, 2011 - July 29, 2019

PERSHING LLC

BD
CRD#: 7560
LAKE MARY, FL
Past

July 6, 2007 - August 30, 2011

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
LAKE MARY, FL
Past

September 7, 2004 - June 11, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 1, 2000 - August 23, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 27, 1999 - April 28, 2000

WIT CAPITAL CORPORATION

BD
CRD#: 41499
OLD GREENWICH, CT
Past

August 31, 1995 - June 4, 1999

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

February 13, 1995 - May 22, 1995

AMERICORP SECURITIES, INC.

BD
CRD#: 30405
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(6/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/23/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/9/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/5/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/10/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/28/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FUTU CLEARING INC
FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Mailing Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Phone number
(972) 665-6903
Established
Delaware since 08/13/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FUTU US INCOWNER
DU, SHUANGHEAD OF US OPERATIONS5005050
KELLY, PATRICK JAMESCHIEF EXECUTIVE OFFICER3126322
SHARMA, VICKRAMJITCHIEF LEGAL OFFICER7186502
SHEN, QIUFANGHEAD OF FINANCE3158926
STIFELMAN, GLEN ROBERTCHIEF COMPLIANCE OFFICER1699013

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.

Company Information

FUTU CLEARING INC

CRD#: 298769Dallas, TX 75251

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