Judd S. Pollock
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.
Judd Stewart Pollock was a registered financial professional .
Judd is a previously registered financial professional and started their career in finance in 1981. Judd had worked at 14 firms and has passed the Series 63, Series 7, Series 27 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
November 3, 1997 - September 27, 2001
CENTEX SECURITIES, INCORPORATED
April 24, 1995 - July 10, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
October 7, 1994 - March 9, 1995
INTERFIRST CAPITAL CORPORATION
May 5, 1992 - October 7, 1994
TAMARON INVESTMENTS, INC.
February 4, 1992 - April 22, 1992
PACIFIC SOUTHERN SECURITIES, INC.
October 31, 1990 - January 30, 1992
FIRST CHOICE SECURITIES CORP.
August 22, 1988 - October 21, 1988
ADVENT SECURITIES, INC.
August 22, 1988 - September 25, 1990
TRI-BRADLEY INVESTMENTS
August 13, 1986 - July 7, 1988
KOBER FINANCIAL CORP.
July 15, 1985 - July 23, 1987
HICKEY, KOBER, INCORPORATED
December 12, 1983 - June 12, 1985
CITIWIDE SECURITIES CORP.
September 9, 1983 - September 26, 1983
FIRST INTERWEST SECURITIES CORPORATION
May 5, 1981 - August 26, 1983
BLINDER, ROBINSON & CO., INC.
April 13, 1981 - May 24, 1981
WALL STREET WEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTEX SECURITIES, INCORPORATED
CRD#: 18493 / SEC#: , 8-43569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BIDDICK, BRUCE ALAN | CHIEF EXECUTIVE OFFICER | 1124697 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 16 |
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.
