Richard Alan Pollock

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 04/2013 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2001-09-17 → 2013-01-29
  Ameriprise Financial Services, Llc
  Chicago, IL
  Chicago, IL

Other Businesses

1) UNION CLUB OF CLEVELAND, 1211 EUCLID AVE CLEVELAND OH, 04/2019, DIRECTOR, BOARD MEMBER, NIR, 4 HR/MO 0 HR/MO TRADING 2) CHAGRIN HUNTER JUMPER CLASSIC, CHAGRIN FALLS OH, 12/2017, VOLUNTEER, NIR, 50 HR/YR 0 HR/YR TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 04/2013, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO 80 HR/MO TRADING 4) SARJAC, INC. & SARJAC FINANCIAL, 9268 Washington St, Chagrin Falls, OH 44023, 05/2002, President, DBA Name, NIR, 40 HR/MO, 40 HR/MO TRADING. 5) UNION CLUB OF CLEVELAND, 1211 EUCLID AVE CLEVELAND OH, 05/2023, PRESIDENT, CIVIC, NIR, 4 HR/MO 0 HR/MO TRADING 6) FOX DEN OF CHAGRIN LLC, 9268 WASHINGTON ST CHAGRIN FALLS OH 44023, 03/2018, OWNER/BOOKKEEPER, BED AND BREAKFAST, NIR, 1 HR/MO 0 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2001-08-16