Craig H. Pollak
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.
Craig Howard Pollak was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1992. Craig had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2014 - May 23, 2016
WHITAKER SECURITIES LLC
May 4, 2010 - February 7, 2014
BGC FINANCIAL, L.P.
June 29, 2009 - May 24, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
April 27, 2007 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
April 11, 1997 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
March 12, 1994 - April 2, 1997
DEALERWEB LLC
September 1, 1992 - March 9, 1994
HIBBARD BROWN & CO., INC.
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
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
