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Florence S. Pollard

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CRD#: 2208895
FP

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.

Florence Sarah Pollard was a registered financial professional .

Florence is a previously registered financial professional and started their career in finance in 1992. Florence had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

January 12, 2001 - May 3, 2007

WORLD TRADE FINANCIAL CORPORATION

BD
CRD#: 42638
SAN DIEGO, CA
Past

July 1, 1999 - December 19, 2000

EQUITRADE SECURITIES CORPORATION

BD
CRD#: 29558
LAKE FOREST, CA
Past

May 13, 1999 - May 26, 1999

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

August 26, 1992 - May 21, 1999

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

July 8, 1992 - August 18, 1992

BURNETT, GREY & CO., INC.

BD
CRD#: 23430
ATLANTA, GA

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
RR
Series 63
Date: 4/7/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1997
General Securities Principal Examination

Current Firm

WT
WORLD TRADE FINANCIAL CORPORATION
AMBER SECURITIES CORPORATION | WORLD TRADE FINANCIAL CORPORATION

CRD#: 42638 / SEC#: , 8-49944

BD
Terminated by SEC on 02/10/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 07/18/1996
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MICHEL, RODNEY PRESTONCEO/PRESIDENT1275392
MICHEL, RODNEY PRESTONFINOP1275392
ADAMS, JASON TROYVICE PRESIDENT2137404
BLUE DIAMOND CAPITAL, LLCSHAREHOLDER/OWNER
DOLAN, JAMES MICHAELCHIEF COMPLIANCE OFFICER1089125

Disclosures

Regulatory Event9

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

WORLD TRADE FINANCIAL CORPORATION

CRD#: 42638

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