Gary J. Pollack
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.
Gary Joel Pollack was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1977. Gary had worked at 8 firms and has passed the Series 63, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 1994 - June 25, 1996
MARION BASS SECURITIES CORPORATION
January 13, 1992 - January 22, 1993
AMERICAN WEALTH MANAGEMENT, INC.
November 17, 1987 - December 22, 1989
UBS FINANCIAL SERVICES INC.
January 29, 1986 - December 8, 1987
CIBC WORLD MARKETS CORP.
September 17, 1983 - February 5, 1986
PRUDENTIAL EQUITY GROUP, LLC
August 18, 1982 - September 7, 1983
LEHMAN BROTHERS INC.
August 27, 1980 - July 26, 1982
SWINK & COMPANY, INC.
August 19, 1977 - October 4, 1980
FIRST CITIZENS MUNICIPAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MARION BASS SECURITIES CORPORATION
CRD#: 7961 / SEC#: , 8-23820
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
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.
