Kenneth D. Pollinger

KLINGENSTEIN FIELDS ADVISORS

New York, NY 10017-5529

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CRD#: 1086252

Professional summary

Kenneth David Pollinger, who also goes by Kenneth D. Pollinger, Kenneth Pollinger, is a registered financial advisor currently at KLINGENSTEIN FIELDS ADVISORS located in New York, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Kenneth has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth D. Pollinger | Kenneth Pollinger

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.

Director and Member of Audit Committee of Brandywine Trust Company, LLC, 7234 Lancaster Pike, Hockessin, Delaware 19707. Brandywine is a Delaware non-deposit trust company providing fiduciary, tax planning, custodial, and administrative services to clients' accounts. The relationship started in 1999. I devote approximately 3 hours per month to the business, inclusive of securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth David Pollinger'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®

None

Experience

Current

September 2, 2021 - Present

KLINGENSTEIN FIELDS ADVISORS

Office #1: 125 Park Avenue Suite 1700, New York, NY 10017-5529

RIA

CRD#: 105907

New York, NY

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".

KLINGENSTEIN FIELDS ADVISORS

ASSET MANAGEMENT PARTNERS SE, LLC | KLINGENSTEIN, FIELDS & CO., LLC | KLINGENSTEIN, FIELDS & CO., L.P. | KLINGENSTEIN FIELDS WEALTH ADVISORS | KLINGENSTEIN FIELDS ADVISORS

CRD#: 105907 / SEC#: 801-33347

RIA

Registered Investment Advisory firm - (12/16/1988 Approved)

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

New York
(9/2/2021)

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 65

Date: 5/19/1995

Uniform Investment Adviser Law Examination

Current Firm

KLINGENSTEIN FIELDS ADVISORS

ASSET MANAGEMENT PARTNERS SE, LLC | KLINGENSTEIN, FIELDS & CO., LLC | KLINGENSTEIN, FIELDS & CO., L.P. | KLINGENSTEIN FIELDS WEALTH ADVISORS | KLINGENSTEIN FIELDS ADVISORS

CRD#: 105907 / SEC#: 801-33347

RIA

Registered Investment Advisory firm - (12/16/1988 Approved)

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Contact information

Main Address

125 Park Avenue Suite 1700, New York, NY 10017-5529

Mailing Address

Phone number

(212) 492-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KLINGENSTEIN, FIELDS & CO., LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,267
AUM (Assets Under Management)	$ 4,737,298,353

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/28/2022	Cover Page	Report

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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Kenneth D. Pollinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth David Pollinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

KLINGENSTEIN FIELDS ADVISORS

Primary Firm SEC Registration

KLINGENSTEIN FIELDS ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/1995

Current Firm

KLINGENSTEIN FIELDS ADVISORS

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KLINGENSTEIN FIELDS ADVISORS

TRUST BUT VERIFY

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