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James William Pollock

Park Avenue Securities LLC

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About James William Pollock

James William Pollock is a financial professional with experience in the financial services industry. James has been registered with FINRA since 2022 and holds the Series 6TO and SIE exams. James is currently registered with Park Avenue Securities LLC and is based in Tampa, Florida. James has been registered in Florida and is an active representative in the state. James has previously worked with MWA Financial Services Inc. in Punta Gorda, Florida. James focuses on providing financial planning, educational seminars, and portfolio management for individuals.

Firm Information

James Pollock is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Pollock’s Registration & Firm History

FL

04/17/2024 - Present

Park Avenue Securities LLC (TAMPA FL)

FL

09/28/2023 - 02/29/2024

MWA FINANCIAL SERVICES INC. (Punta Gorda FL)

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Licenses & Designations

BC

Issued 09/27/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 06/03/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James William Pollock.
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