Christopher M. Pollard
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.
Christopher Michael Pollard, who also goes by Chris Pollard, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
March 16, 2016 - May 28, 2024
COWEN AND COMPANY
September 29, 2014 - March 2, 2016
SEAPORT GLOBAL SECURITIES LLC
November 9, 2011 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
March 22, 2010 - November 23, 2011
MADISON WILLIAMS AND COMPANY
October 15, 2009 - March 24, 2010
JESUP & LAMONT SECURITIES CORP
April 22, 2008 - October 5, 2009
BAY CREST PARTNERS, LLC
November 30, 2005 - May 1, 2008
OPPENHEIMER & CO. INC.
October 28, 2003 - December 19, 2005
ADVEST, INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/24/2004
Limited Representative-Equity Trader ExamCurrent Firm
COWEN AND COMPANY
CRD#: 7616 / SEC#: , 8-22522
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN HOLDINGS, INC. | DIRECT PARENT | |
| CHARNEY, DANIEL S. | CO-PRESIDENT | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| JENKINS, CHRISTINE J | PRINCIPAL FINANCIAL OFFICER AND FINOP | 4911933 |
| NIZICH, MATTHEW JOHN | REGISTERED OPTIONS PRINCIPAL | 2119564 |
| SOLOMON, JEFFREY MARC | CHIEF EXECUTIVE OFFICER | 2133254 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 8 |
Red Flags
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