Steven L. Pomeranz
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.
Steven Lawrence Pomeranz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 52, Series 8, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2012 - July 15, 2019
UNITED CAPITAL FINANCIAL ADVISORS
May 17, 1999 - September 1, 1999
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 25, 1998 - December 5, 2012
STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.
December 10, 1996 - May 29, 1997
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 18, 1991 - June 28, 1996
CHASE INVESTMENT SERVICES CORP.
February 12, 1988 - June 3, 1991
MORGAN STANLEY DW INC.
November 14, 1984 - February 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1983 - November 21, 1984
UBS FINANCIAL SERVICES INC.
December 24, 1981 - October 10, 1983
PRUDENTIAL EQUITY GROUP, LLC
June 11, 1981 - September 2, 1981
HANAUER, STERN & COMPANY,INCORPORATED
February 23, 1981 - June 12, 1981
J. B. HANAUER & CO.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 8/23/1983
Interest Rate Options ExaminationSeries 8
Date: 5/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
