Scott J. Pollaci

RBC ROCHDALE

LAKE MARY, FL 32746

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CRD#: 4580448

Professional summary

Scott Joseph Pollaci, AIF®, CFP®, CPWA® is a registered financial advisor currently at RBC ROCHDALE, LLC located in Lake Mary, Florida and CNR SECURITIES, LLC located in Lake Mary, Florida.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Scott Joseph Pollaci's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2008

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-03-08

Expire date: 2024-02-29

Experience

Current

August 28, 2007 - Present

RBC ROCHDALE, LLC

Office #1: 605 Crescent Executive Court Suite 320, Lake Mary, FL 32746

RIA

CRD#: 117198

LAKE MARY, FL

Current

August 27, 2007 - Present

CNR SECURITIES, LLC

Office #1: 605 Crescent Executive Court, Suite 320, Lake Mary, FL 32746-2133

CRD#: 18466

LAKE MARY, FL

Current

February 17, 2026 - Present

OSAIC WEALTH, INC.

Office #1: 2300 Glades Road Suite 260w, Boca Raton, FL 33431

RIA

CRD#: 23131

Boca Raton, FL

Past

April 26, 2006 - August 6, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ORLANDO, FL

Past

January 21, 2004 - August 6, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

ORLANDO, FL

Past

January 9, 2004 - August 6, 2007

TD AMERITRADE, INC.

CRD#: 7870

ORLANDO, FL

Past

October 29, 2002 - December 2, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WINTER PARK, FL

Past

October 9, 2002 - December 2, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

RBC ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(1/21/2016)

Florida
(8/27/2007)

IAR

Florida
(8/28/2007)

Georgia
(2/17/2026)

Indiana
(11/20/2014)

Maryland
(1/21/2016)

Massachusetts
(9/6/2016)

New Jersey
(1/21/2016)

IAR

New Jersey
(1/28/2016)

New Mexico
(3/25/2019)

Oklahoma
(9/6/2016)

Pennsylvania
(1/21/2016)

Puerto Rico
(7/20/2023)

IAR

Puerto Rico
(2/20/2024)

Tennessee
(3/11/2015)

IAR

Texas
(2/13/2025)

IAR

Virgin Islands
(8/21/2025)

Virginia
(9/12/2018)

Washington
(1/21/2016)

West Virginia
(11/6/2017)

Wyoming
(4/20/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/27/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/4/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RBC ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

269

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RBC ROCHDALE INDEPENDENT CHANNEL BROCHURE (1/29/2026)

RBC ROCHDALE BANK CHANNEL BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts	42,671
AUM (Assets Under Management)	$ 72,960,498,578

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/25/2026	Cover Page	Report
01/28/2025	Cover Page	Report
10/27/2023	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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Firm Stability Insights

Scott J. Pollaci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Joseph Pollaci's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNR SECURITIES, LLC

OSAIC WEALTH, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

RBC ROCHDALE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2002

SIE

Date: 10/1/2018

Series 31

Date: 11/27/2002

Series 7

Date: 10/4/2002

FINRA

Current Firm

RBC ROCHDALE, 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

RBC ROCHDALE, LLC

TRUST BUT VERIFY

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