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EP

Emily Pollack

OPENDEAL BROKER LLC
New York, NY 10010
Some features on this profile are disabled
CRD#: 7402385
EP

Professional summary

Emily Pollack is a registered financial professional currently at OPENDEAL BROKER LLC located in New York, New York.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2021. Emily has worked at 2 firms and has passed the Series 7TO, Series 99TO and SIE exams.

top-8-questions

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) - BD

Click below to view Emily Pollack's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 22, 2022 - Present

OPENDEAL BROKER LLC

Office #1: 149 5th Avenue 10th Floor, New York, NY 10010
BD
CRD#: 291387
New York, NY
Past

July 27, 2021 - April 4, 2023

OPENDEAL BROKER LLC

BD
CRD#: 297797
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

General Industry/Product Exam
RR
Series 7TO
Date: 12/12/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 7/27/2021
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/6/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

OB
OPENDEAL BROKER LLC
CAPITAL R | REPUBLIC SECURITIES | OPENDEAL BROKER LLC | OPENDEAL BROKER | NEXTSEED SECURITIES, LLC

CRD#: 291387 / SEC#: , 8-70055

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
149 5th Avenue 10th Fl, New York, NY 10010
Mailing Address
149 East 22st 10th Fl, New York, NY 10010
Phone number
(607) 227-1036
Established
Delaware since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OPENDEAL, INC.SOLE MEMBER AND MANAGER
EPSTEIN, IANCEO7217572
KUHNEL, EDWARD CAMPBELLCCO4912658
SULLIVAN, CASEY AFINOP5166360

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

OPENDEAL BROKER LLC

CRD#: 291387New York, NY 10010

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