Thomas J. Pollack
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.
Thomas James Pollack was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 8 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2011 - February 29, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
June 13, 2005 - December 2, 2009
FIRST ALLIED SECURITIES, INC.
January 3, 2001 - June 13, 2005
ROUND HILL SECURITIES, INC.
September 21, 2000 - January 10, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 10, 1994 - September 29, 2000
TDI, INCORPORATED
June 22, 1994 - October 5, 1994
GRANITE CAPITAL MANAGEMENT CORP.
October 7, 1988 - June 7, 1994
LIBERTY CAPITAL MARKETS, INC.
April 23, 1986 - October 28, 1987
MCG PORTFOLIO MANAGEMENT CORP.
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
Series 5
Date: 4/5/1989
Interest Rate Options ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
