Kevin G. Pollard
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.
Kevin Grant Pollard was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1995. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2016 - December 31, 2023
PEP ADVISORY LLC
October 1, 2008 - April 28, 2009
J.P. MORGAN SECURITIES LLC
January 21, 2005 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 6, 2004 - January 11, 2005
RBC CAPITAL MARKETS CORPORATION
August 10, 2000 - February 6, 2004
RBC CAPITAL MARKETS, LLC
March 13, 1995 - June 18, 1997
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PEP ADVISORY LLC
CRD#: 166636 / SEC#: , 8-69224
Contact information
FINRA licenses (25 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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