Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jon? Claim Your ProfileJon Darby Pollock is an investment advisor representative with Cambridge Investment Research Advisors, Inc. Jon has been in the securities industry for 17 years and has a Series 63, Series 66, Series 7 and SIE license. Jon is registered with the state of California. Jon was previously registered with Woodbury Financial Services, Inc., Capital Analysts, Incorporated, Protrader Securities Corporation and TD Waterhouse Investor Services, Inc.
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.
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.
Solicitation fees from 3rd party money managers
1
2
CA
01/04/2010 - Present
Cambridge Investment Research Advisors, Inc. (SAN LUIS OBISPO CA)
CA
07/18/2008 - 11/30/2009
WOODBURY FINANCIAL SERVICES, INC. (SAN LUIS OBISPO CA)
CA
02/03/2006 - 05/30/2008
CAPITAL ANALYSTS, INCORPORATED (SAN LUIS OBISPO CA)
TX
05/11/2001 - 10/03/2001
PROTRADER SECURITIES CORPORATION (AUSTIN TX)
NE
04/02/2001 - 05/01/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 04/12/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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