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Ronald Pollock

Some features on this profile are disabled
CRD#: 365348
RP

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.

Ronald Pollock was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 7 firms and has passed the SIE and Series 1 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 30, 2017 - December 26, 2019

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
Jenkintown, PA
Past

December 22, 2014 - January 31, 2017

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
Jenkintown, PA
Past

November 3, 2010 - December 22, 2014

CENTERRE CAPITAL LLC

BD
CRD#: 148091
JENKINTOWN, PA
Past

June 4, 1993 - November 12, 2010

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
JENKINTOWN, PA
Past

April 1, 1974 - June 15, 1993

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

April 11, 1972 - May 15, 1974

USLIFE EQUITY SALES CORP

BD
CRD#: 6815
Past

June 23, 1970 - March 19, 1971

INDEPENDENT FINANCIAL PLANNERS CORPORATION

BD
CRD#: 653

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/15/1970
Registered Representative Examination

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

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

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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

CHELSEA FINANCIAL SERVICES

CRD#: 47770

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