Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Polak is a registered representative with Smbc Nikko Securities America, Inc., licensed to provide securities and investment banking services in all 50 states, the District of Columbia, and Puerto Rico. James has been in the securities industry since 2022 and holds the Series 63, 7TO, and 79TO licenses in addition to the SIE. James is committed to providing clients with personalized financial guidance and helping them achieve their financial goals.
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.
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.
1
2
NY
09/09/2022 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
BC
Issued 10/28/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/09/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/26/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure James Polak is the right advisor for you? Invested Better is here to help.
