Mark G. 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.
Mark Gordon Pollock was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2005 - November 9, 2012
KESTRA INVESTMENT SERVICES, LLC
January 24, 2005 - November 9, 2012
KESTRA INVESTMENT SERVICES, LLC
January 2, 2003 - January 27, 2005
OSAIC FA, INC.
October 8, 2002 - January 27, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 8, 2002 - January 27, 2005
OSAIC FA, INC.
February 18, 1998 - October 29, 2002
THE HUNTINGTON INVESTMENT COMPANY
May 11, 1995 - May 15, 1997
NEW ENGLAND SECURITIES
December 6, 1994 - May 21, 1998
WALNUT STREET SECURITIES, INC.
March 24, 1994 - November 23, 1994
JOHN HANCOCK DISTRIBUTORS LLC
March 22, 1984 - December 5, 1994
NEW ENGLAND SECURITIES
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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