Jodi 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.
Jodi Morgan Pollard, who also goes by Jodi Lynn Morgan, Jodi M Svancarek, Jodi Morgan Svancarek, was a registered financial professional .
Jodi is a previously registered financial professional and started their career in finance in 2007. Jodi had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - June 18, 2019
ALLY INVEST SECURITIES LLC
September 11, 2009 - March 13, 2014
LPL FINANCIAL LLC
June 23, 2008 - April 25, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
December 11, 2007 - May 27, 2008
TCA FINANCIAL GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
