Gary G. Pollock
ROCKEFELLER CAPITAL MANAGEMENT | Senior Managing Director
Walnut Creek, CA 94596
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CRD#: 1590194
Professional summary
Gary G Pollock, CFP®, who also goes by Gary Graham Pollock, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Walnut Creek, California and ROCKEFELLER FINANCIAL LLC located in Walnut Creek, California.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Gary has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
What are your service offerings?
Financial planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
625K
Are you a "fiduciary"?
Yes
Aliases
Gary Graham Pollock
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.
CRS (Client Relationship Summary) - RIA
Click below to view Gary G Pollock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary G 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®
Experience
Current
March 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596RIA
CRD#: 294197
Walnut Creek, CA
Current
March 22, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596RIA
BD
CRD#: 291361
Walnut Creek, CA
Current
March 22, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596RIA
BD
CRD#: 291361
Walnut Creek, CA
Past
November 28, 2023 - March 23, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Walnut Creek, CA
Past
September 29, 2023 - March 23, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Walnut Creek, CA
Past
October 13, 2014 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Walnut Creek, CA
Past
April 5, 2006 - March 25, 2024
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Walnut Creek, CA
Past
March 8, 2002 - March 30, 2005
BAY ISLE FINANCIAL LLC
RIA
CRD#: 119026
OAKLAND, CA
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
Alaska(3/22/2024)
RR
California(3/22/2024)
IAR
California(3/22/2024)
RR
Colorado(3/22/2024)
RR
Florida(3/22/2024)
RR
Hawaii(3/22/2024)
RR
Idaho(3/22/2024)
RR
Massachusetts(3/22/2024)
RR
Nevada(3/22/2024)
RR
New York(3/22/2024)
RR
Ohio(3/22/2024)
RR
Oregon(3/22/2024)
RR
Pennsylvania(3/22/2024)
RR
Texas(3/22/2024)
IAR
Texas(3/22/2024)
RR
Utah(3/22/2024)
RR
Vermont(3/22/2024)
RR
Virginia(3/22/2024)
RR
Washington(3/22/2024)
RR
Wisconsin(3/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 11/3/1986
Non-Member General Securities ExaminationPrincipal/Supervisory 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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Managing DirectorCRD#: 291361Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
