Richard D. Pollan
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.
Richard Douglas Pollan was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2014 - April 21, 2015
MORGAN WILSHIRE SECURITIES, INC.
March 6, 2014 - April 24, 2014
BLACKBOOK CAPITAL, LLC
August 20, 2013 - April 2, 2014
GLOBAL ARENA CAPITAL CORP
May 6, 2013 - June 19, 2013
WOODSTOCK FINANCIAL GROUP, INC.
December 23, 2009 - September 7, 2012
FIRST MIDWEST SECURITIES, INC.
August 27, 2003 - December 23, 2009
MORGAN WILSHIRE SECURITIES, INC.
June 30, 2003 - August 21, 2003
COMMERCE ONE FINANCIAL INC.
August 14, 2001 - October 26, 2001
JOSEPH STEVENS & CO., INC.
July 30, 2001 - September 20, 2001
WEATHERLY SECURITIES CORPORATION
June 7, 2001 - July 9, 2001
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MORGAN WILSHIRE SECURITIES, INC.
CRD#: 44807 / SEC#: , 8-50831
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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