Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Pollock is a financial professional with over 20 years of experience in the industry. Karen is currently registered with T. Rowe Price Investment Services, Inc. in Maryland and New Jersey. Karen has held prior roles with TIAA-CREF Individual & Institutional Services, LLC, PRUCO SECURITIES, LLC., PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC, PRUDENTIAL ANNUITIES DISTRIBUTORS, INC, WACHOVIA SECURITIES, LLC and PRUDENTIAL SECURITIES INCORPORATED. Karen holds the Series 6, 7, 24, 26, 51 and 63 licenses.
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.
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2
MD
08/17/2021 - Present
T. Rowe Price Investment Services, Inc. (BALTIMORE MD)
NY
08/08/2012 - 11/13/2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NJ
11/20/1998 - 10/13/2011
PRUCO SECURITIES, LLC. (NEWARK NJ)
NJ
12/22/1999 - 06/23/2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
08/07/2003 - 05/30/2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (NEWARK NJ)
MO
07/01/2003 - 09/10/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/07/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 10/04/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/26/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/2017
Series 24 - General Securities Principal Examination
BC
Issued 04/11/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 11/30/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/16/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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