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Detailed Report
STEVEN W POLLOCK
STEVE POLLOCK
CRD#: 5173195
IA
Investment Adviser
B
Broker
MERIT FINANCIAL ADVISORSCRD#: 142457 4747 MORENA BOULEVARD
SUITE 102
SAN DIEGO, CA 92117
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 4747 Morena Blvd
Suite 102
San Diego, CA 92117
Registration History
200620082010201220142016201820202022202420262 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - 2024 (3 years)IAMERIT FINANCIAL ADVISORS (CRD# 142457)2020 - Present (4 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2024 - Present (<1 year)B1ST GLOBAL CAPITAL CORP. (CRD# 30349)2006 - 2019 (13 years)IAREASON FINANCIAL (CRD# 133658)2021 - 2022 (1 year)IAREASON FINANCIAL (CRD# 133658)2010 - 2020 (10 years)IA1ST GLOBAL ADVISORS INC (CRD# 111133)2007 - 2019 (12 years)
License(s)

State Registrations

IA
California 9/16/2020
B
Oklahoma 8/16/2024
B
California 8/16/2024
B
Oregon 8/16/2024
IA
Louisiana 3/6/2022
B
Tennessee 12/18/2024
B
Massachusetts 8/16/2024
IA
Texas 3/6/2022
B
Minnesota 8/16/2024
B
Virginia 8/16/2024
B
Nevada 8/16/2024
B
Washington 8/16/2024

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
MERIT FINANCIAL ADVISORS (CRD#:142457)
4747 MORENA BOULEVARD SUITE 102, SAN DIEGO, CA 92117
Registered with this firm since 9/16/2020
B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
4747 Morena Blvd Suite 102, San Diego, CA 92117
Registered with this firm since 8/16/2024
Previous Registration(s)
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IA
 09/17/2020 - 08/16/2024 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
B
 09/15/2020 - 08/16/2024 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
IA
 01/22/2021 - 06/30/2022 REASON FINANCIAL (CRD#:133658) SAN DIEGO, CA
IA
 12/09/2010 - 12/31/2020 REASON FINANCIAL (CRD#:133658) SAN DIEGO, CA
IA
 10/25/2019 - 09/16/2020 AVANTAX ADVISORY SERVICES (CRD#:104556) IRVING, TX
B
 10/25/2019 - 09/16/2020 AVANTAX INVESTMENT SERVICES, INC. (CRD#:13686) SAN DIEGO, CA
IA
 01/24/2007 - 10/25/2019 1ST GLOBAL ADVISORS INC (CRD#:111133) SAN DIEGO, CA
B
 09/29/2006 - 10/25/2019 1ST GLOBAL CAPITAL CORP. (CRD#:30349) SAN DIEGO, 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.