Aaron E. Pollock
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.
Aaron Edward Pollock was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1993. Aaron had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2011 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
December 8, 2006 - June 23, 2011
CROWELL, WEEDON & CO.
December 7, 2006 - June 23, 2011
CROWELL, WEEDON & CO.
August 26, 2005 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
August 26, 2005 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
May 13, 2003 - August 26, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2000 - August 26, 2005
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1997 - September 11, 2000
WAMU INVESTMENTS, INC.
January 20, 1997 - December 23, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 13, 1993 - January 21, 1997
PRUCO SECURITIES, 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
