James Kerr Pollock
CFAProfessional 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 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James K. Pollock, James Kerr Pollock Jr., James Pollock, Jim Pollock
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Current Firm
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC
Contact Information
Main Address
3705 Concord Pike, Wilmington, DE 19803Phone Number
(302) 765-3500# of Employees
53SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
6,570AUM (Assets Under Management)
$2,791,127,378Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC
State Registrations and Notice Filings
(2/2/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1993About the Series 6 examSimilar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Kerr Pollock's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
OXFORD WEALTH GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NYLIFE SECURITIES LLC
