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Scott Pollack

Pollack Financial Group, llc

546 Valley Road Suite 105

Upper Montclair, NJ 07043
(973) 7832555

Wealth Strategies for Working People

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

Firm Start Year

2005

No.of Employees

2-4

CRD#

1200572

Firm CRD#

6413

Insurance License#

NJ 8914914

Name of Broker/Dealer

LPL Financial

Name of Custodial Firm

LPL Financial

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

Compliance

Registered Investment Advisor

No

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

Qualifications & Membership

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

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

none

Compensation Methods

Based on Assets

Fee % Based on Assets

0.75-1.0

Hourly Rate

$150.00

Education

BA - Psychology -

Connecticut College
1976 - 1980

Disclaimer

Copyright 2014  LPL Financial. All Rights Reserved. Security Offered Through LPL Financial, Member FINRA/SIPC