Unclaimed
Robert Lee Pollard is a registered investment advisor representative associated with Capital Client Group, Inc. Robert Pollard has been in the securities industry since June 10, 2019. Robert Pollard is licensed to provide investment advisory services in Indiana and is also a registered representative in Alabama, Georgia, Indiana, Kentucky, Maryland, North Carolina, Tennessee and Virginia. Robert Pollard is a Series 63, Series 65, Series 7TO, Series 6TO and SIE exam holder.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
IN
08/26/2019 - Present
Capital Client Group, Inc. (CARMEL IN)
IA
Issued 08/26/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/11/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/21/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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