Featured Business Financial Advisor in Upper Montclair, NJ
Upper Montclair Financial Advisors
Pollack Financial Group, llc
546 Valley Road Suite 105
Upper Montclair, NJ 07043
Phone Number
“Wealth Strategies for Working People”
Advisor Profile
Scott Pollack
Name:  Scott Pollack
Website:  Visit Website
Disclaimer
Copyright 2014  LPL Financial. All Rights Reserved. Security Offered Through LPL Financial, Member FINRA/SIPC

About Pollack Financial Group, llc

Pollack Financial Group, LLC is a financial consulting and investment management firm that serves individuals, corporations, foundations and non-profit organizations. Founder and Managing Partner Scott Pollack is a registered principal and branch office manager of LPL Financial, ranked the #1 independent broker/dealer in the nation* for the 21st consecutive year. Mr. Pollack has worked in financial services specializing in higher education since 1989. He opened his firm in 2005.
 

General Information

CRD#:    1200572
Firm CRD#:    6413
Insurance License#:    NJ 8914914
Name of Broker/Dealer:    LPL Financial
Name of Custodial Firm:    LPL Financial
States Willing to do Business in:    all
Years of Experience in Financial Services:    30
Number of Years with Current Firm:    14
Work Experience:    30 Years
I work with the following types of clients:    Non-Profit Organizations, Individual Investors, Businesses, Investment Clubs
 

Services

Investment Types:    Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Socially Responsible Investments (SRI)
I can meet clients in the following ways:    Via phone, At my office, At your home, At your office, Video Conference, Via email
 

Qualifications & Memberships

Certifications, Accreditations & Designations:    Chartered Advisor in Philanthropy, Accredited Asset Management Specialist (AAMS®)
Securities Licenses:    Series 63, Series 6, Series 7, Series 24, Series 65, Series 66
Insurance and Annuity Licenses:    Long Term Care, Variable Annuity, Life, Variable Life, Health, Annuity, Disability
Financial Organization Memberships:    Financial Planning Association (FPA), Paladin Registry
 

Firm Information

Firm's Number of Clients:    150
Firm's Number of Planning Clients:    100
Firm's Number of Managed Clients:    80
Assets Managed by Firm:    18000000
Advisor's Number of Clients:    150
Advisor's Number of Managed Clients:    125
Advisor's Number of Planning Clients:    100
Assets Managed by Advisor:    6500000
 

Compliance

Registered Representative:    Yes
Investment Advisor Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation and Fees

Fee Structure:    I am a fee-based financial professional
Compensation Methods:    Flat Fee, Hourly, Based on Assets
Fee % Based on Assets:    0.75-1.0
Hourly Rate:    $150.00
 
 
 
Prepared By: Scott Pollack
 
 
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