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Ross Michael Pollard

Breakwater Capital

Kalamazoo, MI

CRD 4487748

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Employer firm

Breakwater Capital CRD 172498

$157M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Breakwater Capital

251 N Rose Street Suite 200, Kalamazoo, MI 49007 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2015-05-18
  • MI RA
    APPROVED
    Since 2015-05-18

Branch Locations

251 N Rose Street Suite 200, Kalamazoo, MI 49007 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Express Financial Advisors Portage MI 12/2001 Present
Ids Life Insurance Company Portage MI 12/2001 Present
Breakwater Capital Kalamazooo MI 05/2015 Present
  • 12/2001 → Present
    American Express Financial Advisors
    Portage, MI
  • 12/2001 → Present
    Ids Life Insurance Company
    Portage, MI
  • 05/2015 → Present
    Breakwater Capital
    Kalamazooo, MI
Previous Registrations
  • 2011-02-18 → 2015-05-13
    Integrated Financial Planning
    Kalamazoo, MI
    Kalamazoo, MI
  • 2010-10-05 → 2011-03-03
    Ameriprise Financial Services, Llc
    Kalamazoo, MI
    Portage, MI
    Kalamazoo, MI
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-04-03
  • S63 Uniform Securities Agent State Law Examination
    2002-04-03
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

SLEEPING GIANT CAPITAL, LLC
MORGAN STANLEY
AMERIPRISE FINANCIAL SERVICES, LLC

Nearby Investors

THOMAS J SCAMPINI
ROBERT F TIGHE
Matthew Adam Kokinis

Nearby Offices

SLEEPING GIANT CAPITAL, LLC · KALAMAZOO, MI
MORGAN STANLEY · KALAMAZOO, MI
AMERIPRISE FINANCIAL SERVICES, LLC · Kalamazoo, MI

More in Kalamazoo, MI

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