Harold Pollov
Harold Pollov is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Scottsdale, AZ, with 50 years of industry experience. Harold is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Scottsdale, AZ
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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
Harold receives insurance trailers from business written prior to his association with BRWM, dedicating minimal time to this. He also sells life, health, long-term care insurance, and fixed annuities, spending minimal time on this activity, and is the CEO of Oasis Asset Management Group Inc, spending nearly full-time hours on this.
Employment History
Current Registrations
Cetera Wealth Services, LLC
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
B. Riley Wealth Advisors, INC.
B. Riley Wealth ManagementBroker
B Riley Wealth Management
Capital Securities of America, INC.
Capital Securities of America, INC.Broker
Advest, INC.
Advest, INC.Broker
Shearson Lehman Hutton INC.Broker
Prudential Securities IncorporatedBroker
E. F. Hutton & Company INCBroker
Home Life Insurance CompanyBroker
State Registrations26 states
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.
Exams
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