Richard 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.
Richard Jay Pollack was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 7 firms and has passed the Series 63, 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
September 2, 1998 - January 27, 1999
DALTON KENT SECURITIES GROUP, INC.
August 8, 1997 - September 18, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
February 12, 1996 - July 30, 1997
WALSH MANNING SECURITIES, LLC
August 12, 1994 - March 20, 1996
MONROE PARKER SECURITIES, INC.
February 8, 1993 - August 8, 1994
BILTMORE SECURITIES, INC.
May 18, 1992 - February 12, 1993
REICH & CO., INC.
November 13, 1991 - May 4, 1992
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DALTON KENT SECURITIES GROUP, INC.
CRD#: 38813 / SEC#: , 8-48435
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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