Brian S. Polan
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.
Brian Scott Polan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 53, Series 4 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
June 1, 2012 - July 16, 2012
ETICO WEALTH MANAGEMENT LLC
January 14, 2010 - July 10, 2012
DINOSAUR FINANCIAL GROUP, L.L.C
May 1, 2009 - July 1, 2009
PARK FINANCIAL GROUP, INC.
May 31, 2005 - June 22, 2007
SPENCER EDWARDS, INC.
April 16, 2001 - May 31, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 20, 2000 - May 31, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 13, 1998 - November 17, 2000
KFS BD, INC.
September 8, 1997 - November 19, 1998
LUMIERE SECURITIES, INC.
September 19, 1996 - October 9, 1997
TEXAS CAPITAL SECURITIES, INC.
January 26, 1995 - September 6, 1996
AMERICAN FRONTEER FINANCIAL CORPORATION
June 21, 1989 - January 19, 1995
FAIRCHILD FINANCIAL GROUP, INC.
January 15, 1985 - May 25, 1989
ALLIED CAPITAL GROUP, INC.
October 17, 1984 - November 9, 1984
GENERAL AMERICAN SECURITIES, INC.
February 24, 1984 - September 27, 1984
NORBAY SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ETICO WEALTH MANAGEMENT LLC
CRD#: 151046 / SEC#: 801-70445
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 225,507 |
Red Flags
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