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GP

Gregg A. Pollack

LAMPOST CAPITAL, L.C.
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2653630
GP

Professional summary

Gregg Allan Pollack is a registered financial professional currently at LAMPOST CAPITAL, L.C. located in Boca Raton, Florida.

Gregg is registered as a RR (Registered Representative) and started their career in finance in 1995. Gregg has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregg Allan Pollack's 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®
None

Experience

Current

October 31, 2001 - Present

LAMPOST CAPITAL, L.C.

Office #1: 1900 Glades Road Suite 205, Boca Raton, FL 33431Office #2: 1900 Glades Road Suite 205, Boca Raton, FL 33431
BD
CRD#: 43706
Boca Raton, FL
Past

August 3, 2001 - November 1, 2001

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

January 2, 2001 - July 16, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

June 7, 1999 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

May 19, 1998 - June 7, 1999

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

September 10, 1997 - May 6, 1998

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

September 5, 1995 - August 20, 1997

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(10/31/2001)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/28/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/1/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2001
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LAMPOST CAPITAL, L.C.
LAMPOST CAPITAL, L.C.

CRD#: 43706 / SEC#: , 8-50382

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1900 Glades Road Suite 205, Boca Raton, FL 33431
Mailing Address
1900 Glades Rd Suite 205, Boca Raton, FL 33431
Phone number
(561) 883-0454
Established
Florida since 07/16/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MICHAEL S. MEADE IRREVOCABLE CREDIT SHELTER TRUST 09/28/2021NON-VOTING OWNER
MINDY J. MEADE IRREVOCABLE CREDIT SHELTER TRUST 09/28/2021NON-VOTING OWNER
POLLACK, GREGG ALLANCCO2653630
MEADE, MICHAEL SPENCERPRESIDENT / FINOP/COMPLIANCE OFFICIAL/ TRUSTEE, MINDY J. MEADE IRREVOCABLE CREDIT SHELTER TRUST1738234
MEADE, MINDY JANATRUSTEE, MICHAEL S. MEADE IRREVOCABLE CREDIT SHELTER TRUST7446069

Disclosures

Regulatory Event1

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.

Company Information

LAMPOST CAPITAL, L.C.

CRD#: 43706Boca Raton, FL 33431

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