Jon Pollock is a registered investment advisor, based in San Luis Obispo, CA, with 20 years of industry experience.
Location
1122 Laurel Lane, San Luis Obispo, CA, 93401
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Jon is an independent insurance agent for various independent insurance companies. He also works as an advisory representative of a registered investment advisor (RIA), dedicating nearly full-time hours to this investment-related activity, including trading.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research, INC.
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Capital Analysts, Incorporated
Capital Analysts, IncorporatedBroker
Protrader Securities CorporationBroker
TD Waterhouse Investor Services, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.