Mark S. 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.
Mark Scott Pollack was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2010 - June 7, 2011
ANDREW GARRETT INC.
January 17, 2007 - November 1, 2010
PRESTIGE FINANCIAL CENTER, INC.
October 27, 2003 - January 18, 2007
SLOAN SECURITIES CORP.
July 24, 2001 - October 22, 2003
MMA SECURITIES LLC
September 5, 2000 - April 24, 2001
JANNEY MONTGOMERY SCOTT LLC
August 30, 1999 - September 19, 2000
KIRLIN SECURITIES INC.
March 1, 1999 - July 28, 1999
RYAN BECK & CO.
June 2, 1997 - March 10, 1999
JOSEPHTHAL & CO., INC.
March 19, 1997 - May 21, 1997
KIRLIN SECURITIES INC.
September 23, 1996 - March 4, 1997
BLUESTONE CAPITAL CORP.
August 16, 1996 - September 9, 1996
STATE CAPITAL MARKETS CORPORATION
January 4, 1994 - July 30, 1996
GRUNTAL & CO., L.L.C.
October 4, 1993 - January 14, 1994
LEHMAN BROTHERS INC.
August 31, 1992 - September 30, 1993
CIBC WORLD MARKETS CORP.
July 13, 1989 - August 28, 1992
FIDELITY BROKERAGE SERVICES LLC
January 20, 1987 - June 14, 1989
LEHMAN BROTHERS INC.
April 23, 1986 - December 19, 1986
HALPERT AND COMPANY, INC.
Primary Firm SEC Registration
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
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 8
Date: 9/5/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
Contact information
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
