Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Pollock is a financial professional with over 40 years of experience in the industry. Charles is currently registered with MML Investors Services, LLC, and has been actively involved in the financial services industry since 1975. Charles holds several industry licenses, including Series 63, Series 39, Series 6TO, SIE, and Series 1. Charles has a background in real estate and insurance, and is a Chartered Financial Consultant.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation programs
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.
Solicitors fees
1
2
CA
10/29/2021 - Present
MML Investors Services, LLC (San Mateo CA)
CA
01/02/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (FOSTER CITY CA)
CA
11/24/1987 - 01/02/2015
NEW ENGLAND SECURITIES (FOSTER CITY CA)
NA
03/05/1985 - 01/20/1995
POLLOCK FINANCIAL CORPORATION
NA
06/09/1975 - 01/21/1986
PENN MUTUAL EQUITY SERVICES, INC.
NA
10/13/1983 - 04/25/1985
THE POLLOCK REALTY CORPORATION
BC
Issued 06/27/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/1985
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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