Ross Michael Pollard
CFP®Professional Summary
Ross Michael Pollard, CFP® is a registered financial advisor currently at BREAKWATER CAPITAL located in Kalamazoo, Michigan. Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ross has worked at 4 firms and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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MWA FINANCIAL SERVICES INC.
Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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MWA FINANCIAL SERVICES INC.
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Disclosures on record.
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MWA FINANCIAL SERVICES INC.
Credentials
Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
BREAKWATER CAPITAL | POLLARD, ROSS MICHAEL | INTEGRATED FINANCIAL PLANNING | BREAKWATER CAPITAL, LLC
Contact Information
Main Address
251 N Rose Street Suite 200, Kalamazoo, MI 49007Phone Number
(269) 903-2360# of Employees
2SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
466AUM (Assets Under Management)
$156,644,142Similar Advisors
MWA FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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MWA FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BREAKWATER CAPITAL | POLLARD, ROSS MICHAEL | INTEGRATED FINANCIAL PLANNING | BREAKWATER CAPITAL, LLC
State Registrations and Notice Filings
(5/18/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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MWA FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - RIA
Click below to view Ross Michael Pollard's CRS (Customer Relationship Summary).
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MWA FINANCIAL SERVICES INC.
