Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Michael Pollock is a financial professional with over 15 years of experience in the industry. Joseph is currently registered with Keybanc Capital Markets Inc. in California and North Carolina. Joseph has held previous roles at BOFA SECURITIES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Joseph holds several licenses and certifications including Series 7, 50, 52, 53 and 63.
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.
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.
1
2
CA
05/29/2020 - Present
Keybanc Capital Markets Inc. (San Francisco CA)
CA
05/10/2019 - 05/29/2020
BOFA SECURITIES, INC. (SAN FRANCISCO CA)
CA
10/22/2007 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
BC
Issued 10/24/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/24/2023
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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