Sue E Pollack

Sue E Pollack

Senior Operations Professional & Chief Compliance Officer

Office: 732-345-9001
Fax: 732-345-9007
E-mail:

Website: Visit my web site!

 

Sue grew up in Queens, NYC and graduated with a BA in Economics from the University at Albany. She also completed the Securities Industry Institute course of study at The Wharton School.

She started her career with Sanford C Bernstein, now Alliance Bernstein, where she spent seven years as a manager in clearing operations, client information services and as an analyst in Accounting focusing on automating Operations functions. She then worked at Atalanta Sosnoff Capital, a small Investment Advisory firm where she managed the operations and portfolio reporting departments.  Neuberger Berman came next where her prior experience served her well managing the Internal Audit, PC Support and Cashiering departments. 

In 2003, Sue started working for Brian when he was an independent Investment Advisor with Raymond James.  She handled the operational and administrative responsibilities as they pertain to all clients and prospective clients. Sue continues in her role Senior Operations Professional with Rice Wealth Management Group, acting as a liaison with Raymond James on all operational and administrative responsibilities in addition to her new role as Chief Compliance Officer.

Sue and her husband Russ have lived in Middletown, NJ for the past 24 years. Sue enjoys Spinning, Weight Training and is a loyal NY Mets and Giants fan. She is an avid animal lover and supporter of the ASPCA, Humane Society and WWF.

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Check the background of this financial professional on FINRA's BrokerCheck