Scott H. Pollak
Professional summary
Scott Harris Pollak, who also goes by Scott H Pollak, is a registered financial professional currently at M. S. HOWELLS & CO. located in Scottsdale, Arizona.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Harris Pollak's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2024 - Present
M. S. HOWELLS & CO.
Office #1: 23350 N. Pima Rd., Scottsdale, AZ 85255March 9, 2007 - June 7, 2021
CITIGROUP GLOBAL MARKETS INC.
June 27, 2003 - December 31, 2005
M. S. HOWELLS & CO.
January 21, 1999 - April 30, 2003
PUGLISI & CO.
June 24, 1998 - August 24, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 9, 1997 - July 8, 1998
LADENBURG CAPITAL MANAGEMENT INC.
February 29, 1996 - July 11, 1997
RICKEL & ASSOCIATES, INC.
February 28, 1996 - July 11, 1997
RICKEL & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 12/12/2022
General Securities Representative ExaminationSeries 55
Date: 12/7/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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