Todd Glenn Pollock

Current Employers

Employment History

• 01/2009 → 05/2024
  Stifel Nicolaus & Co Inc
  Palm Beach, FL
• 05/2024 → Present
  Osaic Wealth, Inc.
  West Palm Beach, FL

Previous Registrations

• 2009-01-16 → 2024-05-24
  Stifel, Nicolaus & Company, Incorporated
  Palm Beach Gardens, FL
• 2008-01-01 → 2009-01-26
  Wells Fargo Clearing Services, Llc
  Boynton Beach, FL
• 2000-05-19 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Boynton Beach, FL
  St. Louis, MO
  Boynton Beach, FL

Other Businesses

1. BNI South Florida; 1051 SE Westminster Pl, Stuart, FL 34997; Networking Group; Secretary/Treasurer; Collect quarterly lunch dues and pay venue; 04/25/2022; 1 Hour per Week; During Securities Trading Hours; Not Investment-Related. 2. UPWARD WEALTH GROUP, LLC POSITION: Wealth Manager NATURE: LLC that I am working under. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/10/2024 ADDRESS: 2005 Vista Parkway, West Palm Beach FL 33411, United States DESCRIPTION: I am a Wealth Manager with Upward Wealth Group. Investments, Retirement Planning and Financial Planning. Osaic is our broker/dealer 3. BNI POSITION: President NATURE: Networking Group. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2010 ADDRESS: 4431 PGA Blvd, Palm Beach Gardens FL 33410, United States DESCRIPTION: I belong to a BNI networking group. As President I run our weekly meetings and oversee the Leadership team. I am not involved with paying bills or handling money. My role is essentially administrative. There is no compensation to me and it takes very minimal time weekly. 4. PEAK WEALTH MANAGEMENT POSITION: Manager NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2024 ADDRESS: 2005 Vista Parkway, Suite 112, West Palm Beach FL 33411, United States DESCRIPTION: My CPA suggested I setup an LLC for legal purposes. I have setup a bank account and will have my Investment Advisory fees paid into that account as well as pay my business expenses out of it.

Exams

• S66 Uniform Combined State Law Examination
  2009-03-09
• S63 Uniform Securities Agent State Law Examination
  2000-05-25