James 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.
James Howard Pollak JR, who also goes by James Howard Pollak, Jim Pollak Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2009 - February 9, 2010
TEXAS E&P PARTNERS, INC.
March 4, 2009 - December 11, 2009
BRIGHT TRADING, LLC
July 15, 2003 - January 12, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
March 2, 1998 - February 11, 2000
FSC SECURITIES CORPORATION
July 14, 1997 - March 15, 1998
CARLIN EQUITIES, LLC
October 30, 1996 - July 8, 1997
JANCO PARTNERS, INC.
April 7, 1995 - November 4, 1996
UBS FINANCIAL SERVICES INC.
February 11, 1993 - April 21, 1995
PRUDENTIAL EQUITY GROUP, 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
Series 55
Date: 7/14/2003
Limited Representative-Equity Trader ExamCurrent Firm
TEXAS E&P PARTNERS, INC.
CRD#: 127228 / SEC#: , 8-65968
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
