Kevin A. Pollack
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.
Kevin Andrew Pollack was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27 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
November 21, 2003 - November 25, 2020
SHORT HILLS CAPITAL LLC
May 30, 2000 - May 30, 2001
BANC OF AMERICA 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 7TO
Date: 7/26/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/26/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 7/26/2022
Operations Professional ExaminationCurrent Firm
SHORT HILLS CAPITAL LLC
CRD#: 127253 / SEC#: , 8-65977
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POLLACK, KEVIN ANDREW | PRESIDENT/CEO/CFO/FINOP/CCO | 4172541 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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