Jack A. Polsky
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jack Alan Polsky, who also goes by Jack Allan Polsky, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1983. Jack had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2015 - March 16, 2017
DAVID LERNER ASSOCIATES, INC.
March 5, 2010 - January 7, 2013
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
February 5, 2008 - December 7, 2009
BONDS.COM LLC
February 9, 2004 - June 22, 2004
LADENBURG THALMANN & CO. INC.
August 8, 2003 - December 12, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 25, 2002 - September 10, 2003
GRACE FINANCIAL GROUP LLC
May 22, 2002 - October 31, 2002
ELECTRONIC TRADING GROUP, LLC
April 16, 2002 - April 19, 2002
ELECTRONIC TRADING GROUP, LLC
January 25, 2002 - April 11, 2002
A.B. WATLEY, INC.
February 12, 1998 - October 22, 2001
ON-SITE TRADING, INC.
May 2, 1997 - November 17, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
November 9, 1993 - November 6, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1990 - November 18, 1993
UBS FINANCIAL SERVICES INC.
February 15, 1988 - November 13, 1990
LEHMAN BROTHERS INC.
July 24, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 4, 1984 - July 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1983 - May 4, 1984
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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