HP
Harold J. Pollov
CETERA INVESTMENT ADVISERS LLC
Mayfield Heights, OH 44124
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CRD#: 821208
HP
Professional summary
Harold Jack Pollov, who also goes by Hal Pollov, Harold J Pollov, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mayfield Heights, Ohio and CETERA WEALTH SERVICES, LLC located in Mayfield Heights, Ohio.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Harold has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hal Pollov | Harold J Pollov
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1972 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: THE OASIS ASSET MANAGEMENT GROUP INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2005 POSITION/TITLE/RELATIONSHIP: CEO APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: GENERAL PLANNING, PROVIDING FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Harold Jack Pollov's 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®
NoneExperience
Current
June 25, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5885 Landebrook Drive Suite 304, Mayfield Heights, OH 44124RIA
CRD#: 105644
Mayfield Heights, OH
Current
June 25, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5885 Landerbrook Dr. Suite 304, Mayfield Heights, OH 44124BD
CRD#: 13572
MAYFIELD HEIGHTS, OH
Past
August 3, 2022 - July 10, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Mayfield Heights, OH
Past
March 1, 2007 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Mayfield Heights, OH
Past
March 1, 2007 - July 10, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Mayfield Heights, OH
Past
November 22, 2005 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
RIA
CRD#: 36405
MAYFIELD HEIGHTS, OH
Past
November 4, 2005 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
BD
CRD#: 36405
MAYFIELD HEIGHTS, OH
Past
November 10, 1999 - November 25, 2005
ADVEST, INC.
RIA
CRD#: 10
BEACHWOOD, OH
Past
March 11, 1996 - November 25, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
February 15, 1988 - March 4, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 5, 1988 - March 13, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 28, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
April 19, 1976 - October 3, 1983
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/25/2025)
IAR
Arizona(7/2/2025)
RR
California(6/25/2025)
RR
Colorado(6/25/2025)
RR
Florida(6/25/2025)
RR
Georgia(6/25/2025)
RR
Indiana(6/25/2025)
RR
Kentucky(6/25/2025)
RR
Louisiana(6/25/2025)
RR
Maine(6/25/2025)
RR
Maryland(6/25/2025)
RR
Massachusetts(6/25/2025)
RR
Michigan(6/25/2025)
RR
Minnesota(6/25/2025)
RR
Missouri(6/25/2025)
RR
New Mexico(6/25/2025)
RR
New York(6/25/2025)
RR
North Carolina(7/14/2025)
RR
Ohio(7/2/2025)
IAR
Ohio(7/2/2025)
RR
Pennsylvania(6/25/2025)
RR
South Carolina(6/25/2025)
RR
Tennessee(6/25/2025)
RR
Texas(6/25/2025)
IAR
Texas(6/25/2025)
RR
Utah(6/25/2025)
RR
Virginia(6/25/2025)
RR
Washington(6/25/2025)
RR
Wisconsin(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/10/1976
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
