Steven W Pollock
Investment Adviser Representative at Merit Financial Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Steven W. Pollock is an investment adviser representative with Merit Financial Advisors in San Diego, CA, where they have been registered since 2020. They have worked in the securities industry since 2006 and have been registered with 5 firms, including LPL Financial LLC and Reason Financial. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California, Louisiana, and Texas.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Louisiana, Texas
- Broker:
10 states and territories
California, Massachusetts, Minnesota, Nebraska, Nevada, Oklahoma, Oregon, Tennessee, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- 1st Global Capital CorpAug 2006 – Oct 2019San Diego, CA
- 1st Global Advisors, Inc.Jan 2007 – Oct 2019San Diego, CA
- Avantax Insurance Services, Inc.Mar 2007 – Aug 2020San Diego, CA
- Reason Financial, Inc. (previously RAWDIN-BARON FINANCIAL, INC.)Nov 2010 – Sep 2020San Diego, CA
- Avantax Advisory ServicesOct 2019 – Aug 2020San Diego, CA
- Avantax Investment Services, Inc.Oct 2019 – Aug 2020San Diego, CA
- Avantax Insurance AgencyDec 2019 – Aug 2020San Diego, CA
- LPL Financial, LLCSep 2020 – Aug 2024San Diego, CA
- Merit Financial AdvisorsSep 2020 – no end date reportedSan Diego, CA
- PKS InvestmentsAug 2024 – no end date reportedAlbany, NY
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merit Financial Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- First $100,0001.50%
- $100,000 - $250,0001.25%
- Above $250,0001.00%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 269
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Alpharetta, GA
- SEC file number:
- 801-67462
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
View full firm profileOther advisors at Merit Financial Advisors
Showing 12 of 269 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Steven W Pollock has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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