Dirk E. Pollitt
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.
Dirk Eugene Pollitt was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 1999. Dirk had worked at 3 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 26 and Series 51 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2023 - July 23, 2026
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 22, 2011 - June 20, 2023
NATIONWIDE SECURITIES, LLC
December 22, 1999 - January 27, 2006
ALLSTATE FINANCIAL SERVICES, 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
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| DELEGET, JERROLD BRIAN | CHIEF COMPLIANCE OFFICER | 4364224 |
| JESTICE, KEVIN THOMAS | BOARD DIRECTOR | 5363377 |
| KOTECHA, KUSH VIJAY | BOARD DIRECTOR | 8178085 |
| PEREZ, JUAN JOSE QUEVER | PRESIDENT/BOARD DIRECTOR | 6387381 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
