James K. Pollock

POLLOCK INVESTMENT ADVISORS

ANN ARBOR, MI 48104

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CRD#: 2382028

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.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 5 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.

POLLOCK INVESTMENT RESEARCH'S BUSINESS IS THE RESEARCH AND EVALUATION OF INVESTMENT ALTERNATIVES FOR USE IN CLIENT PORTFOLIOS. THESE ALTERNATIVES INCLUDE EQUITIES, FIXED, MUTUAL FUNDS, EFT'S AS WELL AS INDIVIDUAL MANAGERS. PIR UTILIZES A NUMBER OF RESOURCES AND SERVICES INCLUDING SUCH THINGS AS MORNINGSTAR, COMPANY AND INDUSTRY REPORTS AND ASSORTED RESEARCH REPORTS. 5% OF TIME AND REVENUE IS SPENT ON PIR.

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

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

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

CRD#: 17079

DETROIT, MI

Past

March 27, 2001 - April 4, 2002

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

March 14, 1994 - July 10, 2000

BEACON INVESTMENT COMPANY

CRD#: 10472

ANN ARBOR, MI

Past

November 16, 1993 - March 28, 1994

LPM INVESTMENT SERVICES, INC

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".

POLLOCK INVESTMENT ADVISORS, LLC

POLLOCK INVESTMENT ADVISORS, LLC | POLLOCK INVESTMENT CONSULTANTS, LLC

CRD#: 153350 / SEC#: 801-71361

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

Michigan

Registered Investment Advisory firm - (10/13/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

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

State Security Law Exam

IAR

Series 66

Date: 8/9/2005

Uniform Combined State Law Examination

State Security Law Exam

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

Series 7

Date: 3/29/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

POLLOCK INVESTMENT ADVISORS, LLC

POLLOCK INVESTMENT ADVISORS, LLC | POLLOCK INVESTMENT CONSULTANTS, LLC

CRD#: 153350 / SEC#: 801-71361

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

Michigan

Registered Investment Advisory firm - (10/13/2010 Terminated)

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Contact information

Main Address

412 East Huron, Ann Arbor, MI 48104

Mailing Address

Phone number

(734) 929-2520

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

POLLOCK INVESTMENT ADVISORS FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	721
AUM (Assets Under Management)	$ 322,374,663

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.

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Advisor Monitoring

Firm Stability Insights

James K. Pollock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MCDONALD PARTNERS LLC

MCDONALD PARTNERS LLC

COMERICA SECURITIES

COMERICA SECURITIES

COMERICA SECURITIES

BEACON INVESTMENT COMPANY

LPM INVESTMENT SERVICES, INC

Primary Firm SEC Registration

POLLOCK INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2005

Series 63

Date: 11/3/1993

Series 65

Date: 7/20/1993

Series 7

Date: 3/29/2005

Series 6

Date: 11/15/1993

Current Firm

POLLOCK INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POLLOCK INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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