Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Pollock is a financial professional with over 7 years of experience in the industry. Bruce is currently registered with Hilltop Securities Inc. and has a Series 6, 7, 63 and 65 licenses. Bruce has a history of working for reputable financial institutions, such as Vining Sparks, BOFA Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and AXA Advisors, LLC. Bruce has a strong track record of providing financial planning, portfolio management, and educational seminars to both individuals and institutions. Bruce is passionate about helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
NC
10/25/2021 - Present
Hilltop Securities Inc. (CHARLOTTE NC)
NC
11/12/2019 - 10/19/2021
VINING SPARKS (CHARLOTTE NC)
NY
05/10/2019 - 11/08/2019
BOFA SECURITIES, INC. (NEW YORK NY)
NY
02/15/2019 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NC
12/04/2014 - 05/03/2017
AXA ADVISORS, LLC (CHARLOTTE NC)
IA
Issued 07/27/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2017
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/04/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Bruce Pollock is the right advisor for you? Invested Better is here to help.
