Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kenneth Pollard is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 13 years of experience in the financial services industry. James Pollard has been registered with the state of Michigan since 2008, and holds licenses for Series 63, Series 66, Series 7, and Series 52. In addition to his experience with Merrill Lynch, Pierce, Fenner & Smith Inc., James Pollard previously worked for Fifth Third Securities, Inc. and Olde Discount Corporation. James Kenneth Pollard has also passed the SIE Exam, and his specialties include investment advisory services, portfolio management for individuals and businesses, and pension consulting.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MI
06/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BLOOMFIELD HILLS MI)
MI
09/19/2008 - 05/06/2021
FIFTH THIRD SECURITIES, INC. (GRAND RAPIDS MI)
MI
09/22/1998 - 09/30/1999
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 02/06/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2008
Series 7 - General Securities Representative Examination
BC
Issued 09/18/1998
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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