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Samuel R. Pollack

Some features on this profile are disabled
CRD#: 6096177
SP

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.

Samuel Robert Pollack was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2022. Samuel had worked at 2 firms and has passed the Series 65, Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 3, 2025 - February 6, 2026

1932 INVESTMENT MANAGEMENT

RIA
CRD#: 337619
NEWARK, NJ
Past

September 2, 2022 - October 18, 2023

GREENHILL & CO., LLC

BD
CRD#: 40290
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/17/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/2/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2022
Securities Industry Essentials Examination

Current Firm

1I
1932 INVESTMENT MANAGEMENT
1932 INVESTMENT MANAGEMENT | 1932 INVESTMENT MANAGEMENT, LLC

CRD#: 337619 / SEC#: 801-134385

RIA
Registered Investment Advisory firm - (9/19/2025 120-Day Approval)
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Contact information

Main Address
3 Penn Plaza East, Newark, NJ 07105
Mailing Address
Phone number
(800) 355-2583
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

ADV2A 2025 (8/20/2025)
0

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.

Company Information

1932 INVESTMENT MANAGEMENT

CRD#: 337619

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