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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

LISA A POLLOCK

Advisor at MORGAN STANLEY

Salt Lake City, UT | Pleasant Grove, UT

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Search this name across graphsid dfx:ria:f55a1315-70dc-f8d2-edbd-6419d919ec5e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2003 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: Jan 5, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Jan 5, 1990
First registration: Jun 26, 2003
Dual registered: yes, broker-dealer
Other names: LISA ANN ASHTON|LISA G ASHTON|LISA G POLLOCK|LISA G POLLOCK|Lisa Pollock
IAPD individual key: 2007678

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	Jun 14, 2017	n/a	yes	Pleasant Grove, UT\|Salt Lake City, UT	Current employment
FARMERS FINANCIAL SOLUTIONS, LLC	Former SEC adviser	Aug 29, 2016	May 26, 2017	no	Westlake Village, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jan 17, 2013	Jan 28, 2015	no	Westlake Village, CA\|Woodland Hills, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 2, 2010	Jan 11, 2013	no	Los Angeles, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 26, 2003	May 19, 2010	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|LOS ANGELES, CA	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
FARMERS FINANCIAL SOLUTIONS, LLC	MORGAN STANLEY	May 26, 2017	Jun 14, 2017	19	Firm change	Other
MORGAN STANLEY	FARMERS FINANCIAL SOLUTIONS, LLC	Jan 28, 2015	Aug 29, 2016	579	Firm change after gap	Wirehouse to new firm
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Jan 11, 2013	Jan 17, 2013	6	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	May 19, 2010	Nov 2, 2010	167	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 17, 2013 to Jan 28, 2015factForm ADV
→ FARMERS FINANCIAL SOLUTIONS, LLCRegistered adviserregistration: previous registration
Aug 29, 2016 to May 26, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 2, 2010 to Jan 11, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 26, 2003 to May 19, 2010factForm ADV

Dated events

No dated event names this entity yet.