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David Trevelyan Polak

Capital Client Group, Inc.

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About David Trevelyan Polak

David Polak is a financial advisor at Capital Client Group, Inc. David has been in the industry since 2004 and holds Series 7, 6, 63, 24, 65, 82, 17, 10, and 9 securities licenses. David is registered to provide financial advice in 53 states and the District of Columbia. David is also a registered investment advisor representative in California. David is licensed to provide financial advice to individual investors, high-net-worth individuals, and corporations.

Firm Information

David Polak is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

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.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

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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other

As agreed upon in a manner that covers registrant's costs

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David Polak’s Registration & Firm History

CA

06/20/2014 - Present

Capital Client Group, Inc. (Los Angeles CA)

NY

02/04/2002 - 12/17/2004

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

03/02/1999 - 12/21/2001

UBS WARBURG LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/20/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/17/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/28/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/07/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/07/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/02/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/30/2009

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 09/04/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/01/1999

Series 17 - Limited Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Trevelyan Polak.
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