Mark A. Pomeroy

ASCENT CAPITAL PARTNERS

Scottsdale, AZ 85254

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CRD#: 4638578

Professional summary

Mark Anthony Pomeroy JR, CFP®, CPWA® is a registered financial advisor currently at ASCENT CAPITAL PARTNERS, LLC located in Scottsdale, Arizona.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Mark has worked at 8 firms and has passed the Series 66, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Pomeroy JR'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®

CFP^®

Certified Financial Planner

Start date: 2012

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-09-06

Expire date: 2024-08-31

Experience

Current

January 3, 2018 - Present

ASCENT CAPITAL PARTNERS, LLC

Office #1: 16427 North Scottsdale Road Suite 410, Scottsdale, AZ 85254

RIA

CRD#: 291218

Scottsdale, AZ

Past

April 7, 2020 - March 9, 2021

RILEY WEALTH ADVISORS, LLC

RIA

CRD#: 145734

SCOTTSDALE, AZ

Past

February 28, 2017 - January 9, 2018

TL PRIVATE WEALTH

RIA

CRD#: 167818

Scottsdale, AZ

Past

December 15, 2008 - March 17, 2017

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

San Antonio, TX

Past

August 31, 2007 - March 17, 2017

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

January 15, 2004 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

PHOENIX, AZ

Past

January 5, 2004 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

PHOENIX, AZ

Past

April 17, 2003 - November 19, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 17, 2003 - November 19, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ASCENT CAPITAL PARTNERS, LLC

ASCENT CAPITAL PARNTERS, LLC | COMPASS WEALTH PLANNING, LLC | ASCENT PRIVATE CAPITAL, LLC | ASCENT CAPITAL PARTNERS, LLC

CRD#: 291218 / SEC#: 801-134434

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (10/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2025 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

Arizona
(1/3/2018)

IAR

Texas
(3/8/2021)

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 66

Date: 4/28/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/2003

General Securities Representative Examination

Current Firm

ASCENT CAPITAL PARTNERS, LLC

ASCENT CAPITAL PARNTERS, LLC | COMPASS WEALTH PLANNING, LLC | ASCENT PRIVATE CAPITAL, LLC | ASCENT CAPITAL PARTNERS, LLC

CRD#: 291218 / SEC#: 801-134434

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (10/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2025 Terminated)

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Contact information

Main Address

16427 North Scottsdale Road Suite 410, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 841-6956

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (8/27/2025)

BROCHURE SUPPLEMENT - JOHN BOYLE (3/31/2025)

BROCHURE SUPPLEMENT - POMEROY (3/31/2025)

BROCHURE SUPPLEMENT - LOEFFLER (3/31/2025)

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 197,007,279

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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Mark A. Pomeroy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Pomeroy JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RILEY WEALTH ADVISORS, LLC

TL PRIVATE WEALTH

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ASCENT CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2003

SIE

Date: 3/17/2017

Series 7

Date: 4/15/2003

Current Firm

ASCENT CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASCENT CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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