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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

MICHAEL R POLLARD

Advisor at MORGAN STANLEY

Chicago, IL | Elmhurst, IL

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Search this name across graphsid dfx:ria:41cf6e42-1011-4cde-5015-5a01c22c72e0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 14, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 17, 2021
First registration: Aug 14, 2009
Dual registered: yes, broker-dealer
Other names: MICHAEL R POLLARD|Michael Pollard|MICHAEL RICHARD POLLARD|Mike Pollard
IAPD individual key: 5534579

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jan 12, 2024	n/a	yes	Chicago, IL\|Elmhurst, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 18, 2021	Jan 5, 2024	no	CHICAGO, IL\|NEW YORK, NY	Previous registration
CALAMOS ADVISORS LLC	Asset manager	Dec 17, 2012	Oct 31, 2013	no	NAPERVILLE, IL	Previous registration
CALAMOS WEALTH MANAGEMENT LLC	Independent wealth	Feb 24, 2010	Dec 12, 2012	no	NAPERVILLE, IL	Previous registration
WADDELL & REED	Former SEC adviser	Aug 14, 2009	Feb 22, 2010	no	ELGIN, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Jan 5, 2024	Jan 12, 2024	7	Firm change	Wirehouse to wirehouse
CALAMOS ADVISORS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 31, 2013	Aug 18, 2021	2,848	Firm change after gap	Other
CALAMOS WEALTH MANAGEMENT LLC	CALAMOS ADVISORS LLC	Dec 12, 2012	Dec 17, 2012	5	Firm change	Other
WADDELL & REED	CALAMOS WEALTH MANAGEMENT LLC	Feb 22, 2010	Feb 24, 2010	2	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jan 12, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 18, 2021 to Jan 5, 2024factForm ADV
→ CALAMOS ADVISORS LLCRegistered adviserregistration: previous registration
Dec 17, 2012 to Oct 31, 2013factForm ADV
→ CALAMOS WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Feb 24, 2010 to Dec 12, 2012factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Aug 14, 2009 to Feb 22, 2010factForm ADV

Dated events

Occurred
Jan 5, 2024
Advisor changed firm
Michael R Pollard left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2024-01-12)
Form ADVobserved 6 days ago