Mark H. Pollack
Professional summary
Mark Hermann Pollack was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark Hermann Pollack was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1996. Mark had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2008 - September 29, 2009
LPL FINANCIAL LLC
March 3, 2008 - September 29, 2009
LPL FINANCIAL LLC
September 11, 2007 - March 7, 2008
PNC WEALTH MANAGEMENT LLC
September 11, 2007 - March 7, 2008
PNC WEALTH MANAGEMENT LLC
October 20, 2004 - September 14, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 14, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 2, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 2, 2001 - October 20, 2004
QUICK & REILLY, INC.
April 16, 2001 - November 13, 2001
PARK AVENUE SECURITIES LLC
August 15, 2000 - January 31, 2001
1717 CAPITAL MANAGEMENT COMPANY
July 26, 1999 - August 18, 2000
MML INVESTORS SERVICES, LLC
January 4, 1999 - July 20, 1999
MONY SECURITIES CORPORATION
February 2, 1998 - January 22, 1999
MORGAN STANLEY DW INC.
February 14, 1996 - February 12, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
