Don PollardDon Pollard, based in New York, serves as the Chief Executive Officer of Intersource Consulting Group LLC overseeing Compliance and Business Development. An experienced executive with over 25 years in the financial services industry, Don was an integral player in the development of Quick & Reilly’s on-line trading platform, revolutionary at its time. He was also instrumental in establishing the compliance structure around Reilly’s technological platform.
A business graduate of St. Joseph’s College, Don has also held management roles with E*Trade, Oppenheimer and Smith Barney. He holds the FINRA Series 24, 7, 63, 4 and 8 Licenses.
Don primary role with Intersource is to serve as Remote Chief Compliance Officer (“CCO”) for broker- dealer clients. However, he also fulfils the role of Compliance Consultant for other broker-dealer clients.
In his free time, Don enjoys supporting his youngest daughter on the girls’ softball field and encouraging his two older daughters in their educational and professional aspirations. Don also enjoys tinkering with his boat in the summer.
Ernie KappotisErnie Kappotis, based in Greater Boston, is the Chief Financial Officer of Intersource Consulting Group LLC where he serves as Remote FINOP for broker-dealers. With 14 consecutive years of financial services (broker-dealer) experience (11 of which as a Licensed FINOP), Ernie provides the analytical and regulatory edge your firm needs to properly structure its financials and stay in capital compliance. Over the past 11 years, he has served as FINOP for 9 different broker-dealers.
A former FINRA Examiner in Boston, Ernie has conducted several financial examinations of broker- dealers. Now on the other side of the table as Remote FINOP, he guides Intersource’s clients through regulatory exams with the backdrop of rule precedence and interpretation. He holds the FINRA Series 27 and 7 licenses along with the NASAA Series 66 Investment Adviser license.
Happily married to his lovely wife, Ernie is a magna cum laude graduate of Boston College’s Carroll School of Management and he still enjoys watching and attending Boston College Football games.