Steven Douglas Pollack | Financial Professional

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.

Steven Douglas Pollack was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2001. Steven had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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

July 18, 2014 - August 26, 2016

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

BREA, CA

Past

July 18, 2014 - July 1, 2016

KESTRA INVESTMENT SERVICES, LLC

BD

CRD#: 42046

BREA, CA

Past

September 5, 2003 - July 28, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA ANA, CA

Past

September 5, 2003 - July 28, 2014

LPL FINANCIAL LLC

BD

CRD#: 6413

SANTA ANA, CA

Past

October 2, 2001 - September 25, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ORANGE, CA

Past

June 21, 2001 - September 25, 2003

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 7/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/20/2001

General Securities Representative Examination

Current Firm

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 Approved)

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Contact information

Main Address

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

198

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA PRIVATE WEALTH SERVICES, LLC ADVISORENTERPRISE WRAP FEE BROCHURE (10/21/2025)

KPWS - BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts	27,816
AUM (Assets Under Management)	$ 10,210,576,595

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Steven D. Pollack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

KESTRA PRIVATE WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2001

Series 63

Date: 6/29/2001

SIE

Date: 7/1/2016

Series 7

Date: 6/20/2001

Current Firm

KESTRA PRIVATE WEALTH SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA PRIVATE WEALTH SERVICES, LLC

TRUST BUT VERIFY

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