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Alan Polo

Liquidnet, Inc.

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About Alan Polo

Alan Polo is a financial professional with over 17 years of experience in the financial industry. Alan is currently registered with Liquidnet, Inc. and is also a registered representative of FINRA. Alan has held several positions in the financial industry, including roles at Sanford C. Bernstein & Co., LLC, ITG INC., Barclays Capital Inc., Lehman Brothers Inc., and ITG INC. Alan holds Series 3, 7, 24, 55, 57, and 63 licenses. Alan is licensed in Arizona, Colorado, Connecticut, and Florida.

Firm Information

Alan Polo is currently registered with Liquidnet, Inc.. Liquidnet, Inc. is a Corporation formed on January 12, 2000. The firm is registered in 16 states and is approved by the SEC. The firm has 9 Regulatory Event disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

18

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alan Polo’s Registration & Firm History

NY

01/18/2023 - Present

Liquidnet, Inc. (NEW YORK NY)

NY

10/09/2014 - 01/20/2021

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

10/14/2008 - 09/05/2014

ITG INC. (NEW YORK NY)

NY

09/22/2008 - 02/04/2009

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

03/06/2006 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

01/15/2004 - 02/28/2006

ITG INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/03/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 12/17/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/25/2007

Series 3 - National Commodity Futures Examination

BC

Issued 06/06/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/13/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Alan Polo.
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