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San Jose, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-11-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M Holdings Securities, Inc. | Portland | OR | 12/2006 | Present |
| Pollock Financial Corporation | Menlo Park | CA | 11/2006 | Present |
| Pollock Investment Advisory Corporation Dba As Kamcorp | Portola Valley | CA | 03/2014 | Present |
1) Pollock Investment Advisory Corporation; 150 Portola Road, Portola Valley, CA 94028; 06/2015; Administrative Assistant; Process new applications, update client information, process RMD distributions and investor directed transactions; Investment Related; 5 hours/month; 5 hours/month during business hours; Wages/Salary/Tips. 2) Pollock Financial Group (Pollock Financial Corporation); 150 Portola Road, Portola Valley, CA 94028; 05/25/2001; Insurance Agent/Controller; Servicing variable policies and day-to-day accounting; Investment Related; 150 hours/month; 150 hours/month during business hours; Wages/Salary/Tips. 3) The Pollock Corporation; 150 Portola Road Portola Valley, CA 94028; Insurance and Property Management; Investment Related; Insurance/Agent/Controller; Servicing variable policies and day to day accounting; 05/25/2001; 150 hours per month; 150 hours per month during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-04 |
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