Steven A. Pollack
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.
Steven Alan Pollack, who also goes by Steven Alan Pallock, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1975. Steven had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 1994 - November 26, 1997
STEVEN L. FALK & ASSOCIATES INC.
October 18, 1991 - December 31, 1992
STEVEN L. FALK & ASSOCIATES INC.
December 12, 1988 - November 4, 1989
CHURCHILL SECURITIES, INC.
October 5, 1984 - December 22, 1986
ANGLO-AMERICAN INVESTOR SERVICES CORP.
January 6, 1977 - March 8, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
September 25, 1975 - February 6, 1976
DREXEL BURNHAM & CO. 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
Exams
Current Firm
STEVEN L. FALK & ASSOCIATES INC.
CRD#: 14297 / SEC#: , 8-29688
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| 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.
