John Pollock has been an investment adviser representative at Financial Gravity Family Office Services since September 2021, and is not listed among the firm’s executive officers or direct owners.
Financial Gravity Family Office Services, LLC is a Lakeway, TX firm with $590M under management, 1,724 clients and 16 advisers across 3 offices, as of its January 2026 filing.
John Pollock’s longest registration was 16 years at Financial Gravity Asset Management, Inc. (2007–2023). Before joining Financial Gravity Family Office Services in 2021, John Pollock was registered through Forta Financial Group, Inc. and Financial Gravity Asset Management, Inc.
- – present · 5 yearsLakeway, TX · Adviser representative · Firm CRD 316024
- Forta Financial Group, Inc.– · 2 yearsAllen, TX · Adviser representative · Firm CRD 28784
- Financial Gravity Asset Management, Inc.– · 16 yearsAustin, TX · Adviser representative · Firm CRD 144008
Investment adviser representative registrations
John Pollock is registered as an investment adviser representative in 7 states. The first approvals date from September 2021; the most recent are Nebraska and South Carolina, in January 2026.
- CaliforniaSince 10 September 2021
- ColoradoSince 10 September 2021
- FloridaSince 23 September 2021
- NebraskaSince 14 January 2026
- North CarolinaSince 13 January 2026
- South CarolinaSince 14 January 2026
- TexasSince 10 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 May 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 November 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 November 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John David Pollock
- CRD
- 2802192
- Firm
- Financial Gravity Family Office Services · CRD 316024
- Office
- 2501 RANCH ROAD 620 S, STE 110, Lakeway, TX 78734
- Registration
- Investment adviser registration
- In the industry since
- June 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does John Pollock work?
John Pollock is an investment adviser representative registered through Financial Gravity Family Office Services, LLC since September 2021, and is not listed among the firm’s executive officers or direct owners.
Is John Pollock a financial advisor?
Yes. John Pollock has a current investment-adviser registration in California, Colorado, Florida, Nebraska, North Carolina, South Carolina and Texas, through Financial Gravity Family Office Services since September 2021.
How many years of experience does John Pollock have?
John Pollock has 19 years in the financial industry, since June 2007, across 3 adviser firms.
What exams has John Pollock passed?
John Pollock has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in November 1996.
Where is John Pollock based?
John Pollock’s registered office is in Lakeway, TX.
Is John Pollock registered with FINRA?
No. John Pollock has no current broker registration.
How can I verify John Pollock’s record?
Search CRD 2802192 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Pollock’s full registration record.