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JP

James K. Pollock

POLLOCK INVESTMENT ADVISORS
ANN ARBOR, MI 48104
Some features on this profile are disabled
CRD#: 2382028
JP

Professional summary

James Kerr Pollock, CFA, who also goes by James K. Pollock, James Kerr Pollock Jr., James Pollock, Jim Pollock, is a registered financial advisor currently at POLLOCK INVESTMENT ADVISORS, LLC located in Ann Arbor, Michigan and DIVERSIFIED, LLC located in Ann Arbor, Michigan.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 6 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James K. Pollock | James Kerr Pollock Jr. | James Pollock | Jim 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Kerr Pollock's CRS (Customer Relationship Summary).
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®
CFA

Chartered Financial Analyst

Experience

Current

July 23, 2010 - Present

POLLOCK INVESTMENT ADVISORS, LLC

Office #1: 412 East Huron Street, Ann Arbor, MI 48104
RIA
CRD#: 153350
ANN ARBOR, MI
Current

February 2, 2026 - Present

DIVERSIFIED, LLC

Office #1: 412 East Huron, Ann Arbor, MI 48104
RIA
CRD#: 331709
Ann Arbor, MI
Past

September 6, 2006 - July 6, 2010

MCDONALD PARTNERS LLC

RIA
CRD#: 135414
ANN ARBOR, MI
Past

August 25, 2006 - July 6, 2010

MCDONALD PARTNERS LLC

BD
CRD#: 135414
ANN ARBOR, MI
Past

August 19, 2005 - September 6, 2006

COMERICA SECURITIES

RIA
CRD#: 17079
ANN ARBOR, MI
Past

March 30, 2005 - September 6, 2006

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

March 27, 2001 - April 4, 2002

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

March 14, 1994 - July 10, 2000

BEACON INVESTMENT COMPANY

BD
CRD#: 10472
ANN ARBOR, MI
Past

November 16, 1993 - March 28, 1994

LPM INVESTMENT SERVICES, INC

BD
CRD#: 33980
PALM BEACH, FL

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".
DL
DIVERSIFIED, LLC
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC

CRD#: 331709 / SEC#: 801-130728

RIA
Registered Investment Advisory firm - (8/5/2024 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Michigan
(7/23/2010)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/1993
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/20/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DL
DIVERSIFIED, LLC
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC

CRD#: 331709 / SEC#: 801-130728

RIA
Registered Investment Advisory firm - (8/5/2024 Approved)
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Contact information

Main Address
3705 Concord Pike, Wilmington, DE 19803
Mailing Address
Phone number
(302) 765-3500
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DIVERSIFIED, LLC BROCHURE (12/1/2025)
DIVERSIFIED, LLC WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts5,494
AUM (Assets Under Management)$ 2,080,500,590

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

DIVERSIFIED, LLC

CRD#: 331709Ann Arbor, MI 48104

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