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Detailed Report
Gary G Pollock
GARY GRAHAM POLLOCK
CRD#: 1590194
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1850 Mt Diablo Boulevard - Suite 300
Walnut Creek, CA 94596
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2023 - 2024 (<1 year)3 FIRMS2024 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2014 - 2023 (8 years)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2006 - 2024 (17 years)IABAY ISLE FINANCIAL LLC (CRD# 119026)2002 - 2005 (3 years)
License(s)

State Registrations

B
Alaska 3/22/2024
B
North Carolina 3/22/2024
B
Arizona 3/22/2024
B
Ohio 3/22/2024
B
California 3/22/2024
B
Oregon 3/22/2024
IA
California 3/22/2024
B
Pennsylvania 3/22/2024
B
Colorado 3/22/2024
B
Texas 3/22/2024
B
Florida 3/22/2024
IA
Texas 3/22/2024
B
Hawaii 3/22/2024
B
Utah 3/22/2024
B
Idaho 3/22/2024
B
Vermont 3/22/2024
B
Indiana 3/22/2024
B
Virginia 3/22/2024
B
Louisiana 3/22/2024
B
Washington 3/22/2024
B
Massachusetts 3/22/2024
B
Wisconsin 3/22/2024
B
Nevada 3/22/2024
B
Wyoming 3/22/2024
B
New York 3/22/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596
Registered with this firm since 3/22/2024
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:294197)
1850 Mt Diablo Boulevard - Suite 300, Walnut Creet, CA 94596
Registered with this firm since 3/22/2024
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596
Registered with this firm since 3/22/2024
Previous Registration(s)
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IA
 04/05/2006 - 03/25/2024 J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559) Walnut Creek, CA
IA
 11/28/2023 - 03/23/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Walnut Creek, CA
B
 09/29/2023 - 03/23/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Walnut Creek, CA
B
 10/13/2014 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) Walnut Creek, CA
IA
 03/08/2002 - 03/30/2005 BAY ISLE FINANCIAL LLC (CRD#:119026) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.