Unclaimed Profile

Ross Michael Pollard

BREAKWATER CAPITAL, LLC·KALAMAZOO, Michigan

Series 7, Series 63Clean record15 years registeredBREAKWATER CAPITAL, LLC

251 N ROSE STREET SUITE 200, KALAMAZOO, MI 49007CRD# 4487748Firm CRD# 172498

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ross Michael Pollard · KALAMAZOO, MI

Registration

CRD #4487748 · BREAKWATER CAPITAL, LLC · 15 years registered

Brand Profile

Not yet started

Career History

BREAKWATER CAPITAL

May 2015 – present

INTEGRATED FINANCIAL PLANNING

Feb 2011 – May 2015

KALAMAZOO, MI

AMERIPRISE FINANCIAL SERVICES, INC.

Oct 2010 – Mar 2011

KALAMAZOO, MI

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · October 5, 2010

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BREAKWATER CAPITAL, LLC

CRD 172498 · SEC 801-118620

AUM

$128M

Regulatory assets under management

Employees

445 client accounts

Services offered by BREAKWATER CAPITAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at BREAKWATER CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does Ross Michael Pollard offer?

Ross Michael Pollard specializes in Financial Planning, Investment Management. Contact their office in KALAMAZOO, Michigan for a consultation.

What are Ross Michael Pollard's credentials?

Ross Michael Pollard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ross Michael Pollard located?

Ross Michael Pollard is based in KALAMAZOO, Michigan, working with BREAKWATER CAPITAL, LLC. Their office serves clients in the KALAMAZOO metropolitan area and surrounding communities.

How does Ross Michael Pollard charge for services?

Ross Michael Pollard's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BREAKWATER CAPITAL, LLC?

BREAKWATER CAPITAL, LLC has approximately 2 employees and manages $128M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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