Steven Pollock, financial advisor San Diego CA

Steven Pollock

CRD Number: 5173195
Current Firm: Lpl Financial LLC

Steven Pollock (CRD# 5173195) is an Investment Advisor Representative working at Lpl Financial LLC in San Diego, CA and has over 17 years of experience in the finance industry. Steven Pollock has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Lpl Financial LLC
Professional Designations
Company Name Location Dates Years
Lpl Financial, LLC San Diego, CA Sep 2020 - Current 3
Merit Financial Group, LLC San Diego, CA Sep 2020 - Current 3
Reason Financial, Inc. (previously Rawdin-baron Financial, Inc.) San Diego, CA Nov 2010 - Current 13
Avantax Insurance Agency San Diego, CA Dec 2019 - Aug 2020 < 1
Avantax Advisory Services San Diego, CA Oct 2019 - Aug 2020 < 1
Avantax Investment Services, Inc. San Diego, CA Oct 2019 - Aug 2020 < 1
Avantax Insurance Services, Inc. San Diego, CA Mar 2007 - Aug 2020 13
1st Global Advisors, Inc. San Diego, CA Jan 2007 - Oct 2019 12
1st Global Capital Corp San Diego, CA Aug 2006 - Oct 2019 13
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2007
Contact Info for Steven W. Pollock
By the Numbers
  • Total Assets Under Management
    368,019
    MILLIONS
  • Total Number of Accounts
    1,688,501
    ACCOUNTS
  • Average Account Value
    $217,956
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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Data verified by both the advisor and the public regulatory data.

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