Paul J. Pollack
Professional summary
Paul Joseph Pollack was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Paul had worked at 8 firms, which includes INTERFIRST CAPITAL CORPORATION, ROUND HILL SECURITIES INC., PACIFIC GROWTH EQUITIES LLC, VOLPE BROWN WHELAN & COMPANY LLC, THE BUCKINGHAM RESEARCH GROUP INCORPORATED, MONTGOMERY SECURITIES, LEHMAN BROTHERS INC., DAVIS SKAGGS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2001 - December 6, 2001
INTERFIRST CAPITAL CORPORATION
March 2, 1995 - October 16, 1995
ROUND HILL SECURITIES, INC.
September 27, 1989 - September 20, 1993
PACIFIC GROWTH EQUITIES, LLC
August 29, 1988 - August 17, 1989
VOLPE BROWN WHELAN & COMPANY, LLC
February 28, 1986 - August 2, 1988
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
March 14, 1985 - October 4, 1985
MONTGOMERY SECURITIES
August 25, 1983 - March 13, 1985
LEHMAN BROTHERS INC.
August 24, 1983 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
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
Current Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
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