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Charles Thomas Pollock

Jefferies LLC

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About Charles Thomas Pollock

Charles Thomas Pollock is a financial advisor in Dallas, Texas. He is registered with Jefferies LLC and has been in the industry since September 23, 2003. Charles holds the Series 63, 7, 9 and 10 licenses as well as the SIE. He has previously worked at GOLDMAN SACHS & CO. LLC in Dallas.

Firm Information

Charles Pollock is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

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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Charles Pollock’s Registration & Firm History

TX

09/19/2023 - Present

Jefferies LLC (DALLAS TX)

TX

09/23/2003 - 10/12/2023

GOLDMAN SACHS & CO. LLC (Dallas TX)

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Licenses & Designations

BC

Issued 08/16/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/16/2018

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Charles Thomas Pollock.
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