Gregory H. Pollock
ROCKEFELLER FINANCIAL LLC | Managing Director - Wealth Management
Melbourne, FL 32940
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CRD#: 1263242
Professional summary
Gregory Hough Pollock is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Melbourne, Florida.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Gregory has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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.
I*33395 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MINERVA LAKE CORP INVESTMENT RELATED: N ADDRESS OF BUSINESS: MERRITT ISLAND, FLORIDA 32952 NATURE OF BUSINESS: OTHER,PROPERTY SALE POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 12/18/2004 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SHAREHOLDER WITH 3 SIBLINGS. SHARED DECISION MAKING
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Hough Pollock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Hough Pollock's 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®
NoneExperience
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 8240 Devereux Dr., Suite 103a, Melbourne, FL 32940RIA
BD
CRD#: 291361
Melbourne, FL
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 8240 Devereux Dr., Suite 103a, Melbourne, FL 32940RIA
BD
CRD#: 291361
Melbourne, FL
Past
May 25, 1984 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROCKLEDGE, FL
Past
May 23, 1984 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROCKLEDGE, FL
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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/1/2023)
RR
California(2/17/2023)
RR
Colorado(2/17/2023)
RR
Connecticut(2/17/2023)
RR
Florida(2/28/2023)
IAR
Florida(2/28/2023)
RR
Georgia(2/21/2023)
RR
Illinois(3/13/2023)
RR
Indiana(2/28/2023)
RR
Kansas(9/6/2023)
RR
Louisiana(2/17/2023)
RR
Maine(2/17/2023)
RR
Massachusetts(2/21/2023)
RR
Michigan(2/17/2023)
RR
Minnesota(3/16/2023)
RR
Montana(8/5/2025)
RR
New Jersey(2/17/2023)
RR
New York(2/17/2023)
RR
North Carolina(2/17/2023)
RR
Ohio(2/17/2023)
RR
Oklahoma(2/17/2023)
RR
Pennsylvania(2/17/2023)
RR
Rhode Island(2/17/2023)
RR
South Carolina(3/3/2023)
RR
Tennessee(2/17/2023)
RR
Texas(2/17/2023)
IAR
Texas(2/17/2023)
RR
Utah(2/17/2023)
RR
Virginia(2/17/2023)
RR
Washington(2/17/2023)
RR
West Virginia(2/17/2023)
RR
Wisconsin(2/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing Director - Wealth ManagementCRD#: 291361Melbourne, FL 32940TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
