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Carolyn Lee Pollock

National Financial Services LLC

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About Carolyn Lee Pollock

Carolyn Lee Pollock is a registered representative with National Financial Services LLC, a firm with offices in Covington, Kentucky. Carolyn has been in the securities industry since February 27, 2014. She holds the Securities Industry Essentials (SIE) exam and the Series 99 Operations Professional exam. Carolyn is currently registered with FINRA.

Firm Information

Carolyn Pollock is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Carolyn Pollock’s Registration & Firm History

KY

02/28/2014 - Present

National Financial Services LLC (COVINGTON KY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/2014

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn Lee Pollock.
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