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Craig D Pollock
CRAIG DOUGLAS POLLOCK, CRAIG POLLOCK
CRD#: 4629116
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1850 Mt Diablo Boulevard - Suite 300
Walnut Creek, CA 94596
Walnut Creek, CA 94596
0
Disclosures
2
Years of Experience
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State Registrations
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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
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IA
Registered with this firm since 3/22/2024
IA
Registered with this firm since 3/22/2024
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Registered with this firm since 3/22/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2023 - 03/25/2024 | Walnut Creek, CA | |
IA | 03/21/2024 - 03/23/2024 | Walnut Creek, CA | |
B | 09/29/2023 - 03/23/2024 | Walnut Creek, CA | |
B | 11/15/2022 - 09/29/2023 | Walnut Creek, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.