James M. Pollock
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.
James Moore Pollock was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2008 - September 12, 2015
KALINOWSKY ASSET MANAGEMENT
June 7, 2006 - June 7, 2006
M HOLDINGS SECURITIES, INC.
May 25, 2001 - April 12, 2017
M HOLDINGS SECURITIES, INC.
August 26, 1999 - June 1, 2001
MUTUAL SERVICE CORPORATION
December 11, 1987 - August 30, 1999
NEW ENGLAND SECURITIES
April 15, 1985 - December 19, 1994
POLLOCK FINANCIAL CORPORATION
October 13, 1983 - April 25, 1985
THE POLLOCK REALTY CORPORATION
Primary Firm SEC Registration
KALINOWSKY ASSET MANAGEMENT
CRD#: 137393 / SEC#: 801-85174
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
KALINOWSKY ASSET MANAGEMENT
CRD#: 137393 / SEC#: 801-85174
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 223,300,000 |
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.
