Karen Pollock
Professional summary
Karen Pollock, who also goes by Karen Gail Golubow, Karen Gail Pollock, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1998. Karen has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karen Pollock's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2021 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231August 8, 2012 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 7, 2003 - May 30, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 1, 2003 - September 10, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 7, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1999 - June 23, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 20, 1998 - October 13, 2011
PRUCO 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
(8/17/2021)
(10/4/2021)
Exams
FINRA
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
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