Ira Polk
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.
Ira Polk was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1984. Ira had worked at 5 firms and has passed the Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1995 - April 17, 2009
MF GLOBAL INC.
November 14, 1994 - June 19, 1996
E.D. & F. MAN INTERNATIONAL INC.
December 26, 1985 - February 25, 2002
MAN INVESTMENTS INC.
February 26, 1985 - June 28, 1985
ELDERS SECURITIES INC.
February 6, 1984 - February 4, 1985
JOHNSON MATTHEY ASSET MANAGEMENT
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
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
