David A. Pologe

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CRD#: 1471704

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.

David Alan Pologe was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1991. David had worked at 10 firms and has passed the Series 66, Series 65, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 15, 2014 - August 11, 2021

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 3, 2012 - August 11, 2021

ASSETMARK, INC.

RIA

CRD#: 109018

New York, NY

Past

May 2, 2012 - November 20, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 20, 2006 - December 15, 2011

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

July 26, 2005 - December 15, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

March 12, 2002 - December 15, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 11, 2001 - February 20, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

October 5, 2000 - July 10, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 2, 1997 - August 29, 2000

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

October 7, 1992 - January 1, 1996

WOOD LOGAN DISTRIBUTORS, INC.

CRD#: 28199

OLD GREENWICH, CT

Past

August 22, 1991 - June 19, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/22/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/18/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/11/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/27/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Mailing Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Phone number

(818) 528-3727

Established

Delaware since 09/25/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ASSETMARK FINANCIAL HOLDINGS, INC.	OWNER
HANSEN, CARRIE ELLEN	PRESIDENT/ MANAGING PRINCIPAL	4781315
KOVAL, JOHN HENRY	AML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO	2468284
LAMBUTH, RYAN SCOTT	CHIEF COMPLIANCE OFFICER	5382199

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.

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Firm Stability Insights

David A. Pologe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

SUTRO & CO. INCORPORATED

TUCKER ANTHONY INCORPORATED

GLEACHER & COMPANY SECURITIES, INC.

WOOD LOGAN DISTRIBUTORS, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2005

Series 65

Date: 11/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1991

Series 10

Date: 1/11/2005

Series 9

Date: 11/27/2004

Current Firm

ASSETMARK BROKERAGE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETMARK BROKERAGE, LLC

TRUST BUT VERIFY

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