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MP

Michael S. Pompei

INTEGRITY CAPITAL
Fort Wayne, IN 46802
Some features on this profile are disabled
CRD#: 2792229
MP

Professional summary

Michael Stephen Pompei, who also goes by Mike Pompei, is a registered financial professional currently at INTEGRITY CAPITAL, LLC located in Fort Wayne, Indiana.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Pompei

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 Stephen Pompei'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

January 31, 2025 - Present

INTEGRITY CAPITAL, LLC

Office #1: 888 S Harrison St., Suite 900, Fort Wayne, IN 46802
BD
CRD#: 285198
Fort Wayne, IN
Past

October 31, 2018 - January 31, 2025

FIRST PALLADIUM, LLC

BD
CRD#: 289822
FORT WAYNE, IN
Past

December 22, 2014 - December 4, 2017

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

March 20, 2009 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
HARRISBURG, PA
Past

March 9, 2007 - March 20, 2009

ASH SECURITIES WHOLESALING, INC.

BD
CRD#: 37454
FORT WAYNE, IN
Past

February 11, 2004 - April 25, 2005

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

July 6, 2001 - February 19, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

November 20, 1996 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 20, 1996 - October 23, 2000

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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
Arizona
(1/31/2025)
RR
Pennsylvania
(1/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/18/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/10/1998
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INTEGRITY CAPITAL, LLC
ANNEXUS SECURITIES, LLC | INTEGRITY CAPITAL, LLC

CRD#: 285198 / SEC#: , 8-69829

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

Main Address
16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260
Mailing Address
16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260
Phone number
(480) 321-8992
Established
Delaware since 08/05/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INTEGRITY WEALTH, LLCMEMBER
DENHAM, ERIC TODDPRESIDENT1812039
GILBREATH, WESLEY BLAKECHIEF FINANCIAL OFFICER7294886
GILBREATH, WESLEY BLAKEFINOP7294886
GILBREATH, WESLEY BLAKEPRINCIPAL FINANCIAL OFFICER7294886
LEPORE, KENNETHPRINCIPAL OPERATIONS OFFICER1356913
LEPORE, KENNETHCCO1356913

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

INTEGRITY CAPITAL, LLC

CRD#: 285198Fort Wayne, IN 46802

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