MP
Michael I. Pollock
FIDELITY BROKERAGE SERVICES LLC
Palo Alto, CA 94301
Some features on this profile are disabled
CRD#: 3240315
MP
Professional summary
Michael I Pollock, who also goes by Michael Isaac Pollock, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Palo Alto, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Isaac Pollock
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael I Pollock'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®
NoneExperience
Current
February 1, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 251 University Avenue, Palo Alto, CA 94301BD
CRD#: 7784
Palo Alto, CA
Past
March 6, 2009 - August 10, 2010
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
SAN FRANCISCO, CA
Past
October 6, 2003 - November 26, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN FRANCISCO, CA
Past
January 3, 2003 - September 23, 2003
CYBERTRADER, INC.
BD
CRD#: 44523
AUSTIN, TX
Past
May 4, 2000 - January 29, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 29, 1999 - December 17, 1999
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Alabama(3/29/2011)
RR
Alaska(2/8/2011)
RR
Arizona(2/24/2011)
RR
Arkansas(2/8/2011)
RR
California(2/2/2011)
RR
Colorado(2/8/2011)
RR
Connecticut(2/8/2011)
RR
Delaware(2/8/2011)
RR
District of Columbia(2/9/2011)
RR
Florida(2/9/2011)
RR
Georgia(2/9/2011)
RR
Hawaii(2/9/2011)
RR
Idaho(2/8/2011)
RR
Illinois(2/8/2011)
RR
Indiana(2/8/2011)
RR
Iowa(2/8/2011)
RR
Kansas(2/8/2011)
RR
Kentucky(2/8/2011)
RR
Louisiana(2/8/2011)
RR
Maine(2/8/2011)
RR
Maryland(2/10/2011)
RR
Massachusetts(2/8/2011)
RR
Michigan(3/28/2011)
RR
Minnesota(2/9/2011)
RR
Mississippi(2/8/2011)
RR
Missouri(2/9/2011)
RR
Montana(2/8/2011)
RR
Nebraska(2/16/2011)
RR
Nevada(2/18/2011)
RR
New Hampshire(2/9/2011)
RR
New Jersey(2/8/2011)
RR
New Mexico(2/8/2011)
RR
New York(2/8/2011)
RR
North Carolina(2/8/2011)
RR
North Dakota(2/14/2011)
RR
Ohio(2/8/2011)
RR
Oklahoma(2/14/2011)
RR
Oregon(2/8/2011)
RR
Pennsylvania(2/8/2011)
RR
Puerto Rico(2/8/2011)
RR
Rhode Island(2/11/2011)
RR
South Carolina(2/10/2011)
RR
South Dakota(2/10/2011)
RR
Tennessee(2/11/2011)
RR
Texas(4/12/2011)
RR
Utah(2/8/2011)
RR
Vermont(2/10/2011)
RR
Virgin Islands(2/10/2011)
RR
Virginia(2/9/2011)
RR
Washington(2/7/2011)
RR
West Virginia(2/10/2011)
RR
Wisconsin(2/9/2011)
RR
Wyoming(2/8/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Palo Alto, CA 94301TRUST BUT VERIFY
Monitor Michael Pollock
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
