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AP

Alexander F. Pompetzki

THE SPARTAN GROUP
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 7170275
AP

Professional summary

Alexander Frederick Pompetzki, who also goes by Alexander Pompetzki, is a registered financial professional currently at THE SPARTAN GROUP located in Pasadena, California.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2022. Alexander has worked at 2 firms and has passed the SIE and Series 79TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander Pompetzki

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 Alexander Frederick Pompetzki'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

July 29, 2025 - Present

THE SPARTAN GROUP

Office #1: 16 N. Marengo, Suite #307, Pasadena, CA 91101
BD
CRD#: 124430
Pasadena, CA
Past

March 28, 2022 - July 31, 2023

TAP SECURITIES LLC

BD
CRD#: 151593
NEW YORK, NY

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/28/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/7/2022
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THE SPARTAN GROUP
THE SPARTAN GROUP

CRD#: 124430 / SEC#: , 8-65674

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

Main Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Mailing Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Phone number
(626) 204-6380
Established
California since 10/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JOHNSON, JOHN ORVILLEFOUNDING MEMBER3167704
MORGAN, PETER DAWSONFOUNDING MEMBER, CCO, AMLCO1264882
THORNTON, STEVEN LEEFINOP4496384

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

THE SPARTAN GROUP

CRD#: 124430Pasadena, CA 91101

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