Ronald G. Pollard
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.
Ronald Gatean Pollard, who also goes by Ron Gatean Pollard, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2012 - December 11, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 9, 2010 - February 10, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 5, 2009 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 11, 2005 - May 28, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
July 31, 2003 - January 3, 2005
AFS BROKERAGE, INC.
April 20, 2000 - February 8, 2002
CONSECO SECURITIES, INC.
October 7, 1994 - March 2, 2000
EQUITY SERVICES, INC.
January 29, 1987 - October 5, 1994
PRUCO SECURITIES, LLC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
