Joseph M. Pollock
Professional summary
Joseph Michael Pollock, who also goes by Joe Pollock, is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in San Francisco, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 3 firms and has passed the Series 63, Series 50, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Pollock's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2020 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: One California Street, San Francisco, CA 94111May 10, 2019 - May 29, 2020
BOFA SECURITIES, INC.
October 22, 2007 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/29/2020)
(12/10/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYCORP | SOLE SHAREHOLDER | |
| GILBERT, STACY LEE | DIRECTOR | 5316644 |
| HAYDEN, WILLIAM PATRICK | CHIEF COMPLIANCE OFFICER | 4136632 |
| JANOFSKY, PAULA MARIE | CHIEF OPERATIONS OFFICER, DIRECTOR | 2882776 |
| KOVACHICK, MARK ALLAN | DIRECTOR, CFO | 5390571 |
| PAINE, ANDREW JACKSON III | MANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING | 2450522 |
| PREISER, DOUGLAS WILLIAM | CHIEF EXECUTIVE OFFICER, DIRECTOR | 1690776 |
| SKARDA, JOSEPH BRIEL | DIRECTOR | 4288186 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 15 |
| Bond | 1 |
Red Flags
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Company Information
KEYBANC CAPITAL MARKETS INC.
CRD#: 566San Francisco, CA 94111TRUST BUT VERIFY
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