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Kascia Polk

Cetera Investment Services LLC

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About Kascia Polk

Kascia Polk is a financial advisor with Cetera Investment Services LLC. Kascia has been working in the financial services industry since 2003. Kascia holds the Series 6, 7 and 63 licenses, and the SIE exam. Kascia has been registered with the state of Georgia since 7/20/2023. Kascia has experience with a number of firms, including PFS Investments, SunTrust Investment Services and Edward Jones.

Firm Information

Kascia Polk is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

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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Kascia Polk’s Registration & Firm History

MN

07/18/2023 - Present

Cetera Investment Services LLC (ST CLOUD MN)

MN

11/24/2020 - 02/15/2022

CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)

MN

11/09/2017 - 01/06/2020

CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)

GA

07/08/2014 - 12/31/2016

PFS INVESTMENTS INC. (ATLANTA GA)

GA

08/18/2008 - 07/20/2012

SUNTRUST INVESTMENT SERVICES, INC. (COLLEGE PARK GA)

GA

04/03/2007 - 05/02/2007

E*TRADE SECURITIES LLC (ALPHARETTA GA)

GA

03/24/2006 - 12/14/2006

EDWARD JONES (DOUGLASVILLE GA)

OH

11/09/2005 - 03/08/2006

NATIONWIDE SECURITIES, INC. (COLUMBUS OH)

MO

05/21/2003 - 05/17/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 05/27/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/2006

Series 7 - General Securities Representative Examination

BC

Issued 05/19/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kascia Polk. Review regulatory record here.
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