Francesco A. Pollari
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.
Francesco Angelo Pollari was a registered financial professional .
Francesco is a previously registered financial professional and started their career in finance in 1998. Francesco had worked at 6 firms and has passed the Series 63, Series 3, Series 55, 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
January 12, 2012 - June 12, 2012
CCM SECURITIES, LLC
November 22, 2011 - September 6, 2012
BLUEFIN CAPITAL MANAGEMENT, LLC
September 2, 2010 - October 6, 2011
GUGGENHEIM SECURITIES, LLC
February 6, 2009 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
July 7, 2003 - May 6, 2004
STRATEGIC STRUCTURING & SOLUTIONS LLC
August 27, 1998 - September 4, 2008
J.P. MORGAN 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
Series 55
Date: 4/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
CCM SECURITIES, LLC
CRD#: 104457 / SEC#: , 8-52911
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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