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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Penny? Claim Your ProfilePenny Elizabeth Polak is a financial professional with over two decades of experience in the industry. Penny is currently a Registered Representative and Investment Advisor Representative at Northern Trust Securities, Inc. Penny has a broad range of experience in the financial services industry, having previously worked at firms such as Woodbury Financial Services, Inc., UVEST Financial Services Group, Inc., Vision Investment Services, Inc., and Harris Investor Services LLC. Penny holds FINRA Series 6, 7, 24, and 63 registrations, as well as the SIE designation. Penny is also registered to provide investment advisory services in 53 states and the District of Columbia.
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.
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.
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.
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2
IL
10/06/2010 - Present
Northern Trust Securities, Inc. (CHICAGO IL)
WI
02/19/2010 - 09/28/2010
WOODBURY FINANCIAL SERVICES, INC. (GREEN BAY WI)
NC
09/19/2007 - 04/08/2008
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
WI
09/10/2003 - 11/04/2005
VISION INVESTMENT SERVICES, INC. (BROOKFIELD WI)
NJ
05/01/2002 - 07/16/2003
HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)
WA
12/09/2000 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
IL
04/15/2000 - 12/09/2000
HARRIS INVESTORLINE (CHICAGO IL)
IL
05/19/1998 - 04/15/2000
HARRIS INVESTORS DIRECT, INC. (CHICAGO IL)
OH
10/01/1997 - 12/03/1997
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
MI
12/18/1996 - 10/01/1997
FMB INVESTMENT SERVICES (HOLLAND MI)
BC
Issued 09/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/17/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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