Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Laszlo Polyak is a financial advisor with over 28 years of experience in the financial services industry. James is currently registered with Wealthpenn.comllc and has previously worked with a number of other firms, including Citigroup Global Markets Inc., Dean Witter Reynolds Inc., Murphey, Marseilles, Smith & Nammack, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Hibbard Brown & Co., Inc. James specializes in providing financial advice to a wide range of clients, including individuals, high-net-worth individuals, corporations, and institutions. James has a strong track record of success in helping clients 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/19/2014 - Present
Wealthpenn.comllc (New York NY)
NY
11/10/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/27/1997 - 11/22/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
06/24/1996 - 02/18/1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC. (NEW YORK NY)
NY
06/17/1993 - 06/11/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/16/1992 - 03/08/1993
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 3/5/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/6/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 11/13/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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