Blake Arthur Pollock

CRD 1842567 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Auburn Hills, MI

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 3Series 7Series 10Series 9Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1842567 contains one or more disclosure events as of Aug 20, 2026.

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FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rochester, MI · IA capacity

Jul 31, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Auburn Hills, MI · BC capacity

Jul 30, 2015 → present
Ubs Financial Services Inc.
Troy, MI · IA capacity

Oct 25, 2010 → Jun 24, 2015
Ubs Financial Services Inc.
Troy, MI · BC capacity

Jun 23, 2008 → Jun 24, 2015
Banc Of America Investment Services, Inc.
Chicago, IL · IA capacity

Oct 14, 2005 → Jun 23, 2008
Banc Of America Investment Services, Inc.
Chicago, IL · BC capacity

Oct 14, 2005 → Jun 23, 2008
Wachovia Securities, LLC
Cincinnati, OH · IA capacity

May 4, 2004 → Oct 11, 2005
Wachovia Securities, LLC
St. Louis, MO · BC capacity

Jul 1, 2003 → Oct 11, 2005
Prudential Securities Incorporated
New York, NY · BC capacity

May 24, 1993 → Jul 1, 2003

Source & corrections

Where this page comes from

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