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

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

Services

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

Qualifications & Memberships

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

Firm Information

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

Compliance

I am an acknowledged fiduciary:    Yes
Investment Advisor Representative:    Yes
Registered Representative:    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:    Fee-Based (Fee and Commissions)
Compensation Methods:    Based on Assets, Hourly, Flat Fee
Fee % Based on Assets:    0.75-1.0
Hourly Rate:    $150.00
 
 
 
 
 
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