Albert J. Poliak
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.
Albert James Poliak was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1984. Albert had worked at 12 firms and has passed the Series 63, Series 7 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
August 6, 2004 - December 31, 2013
DAWSON JAMES SECURITIES, INC.
September 16, 2002 - August 11, 2004
VIEWTRADE FINANCIAL
May 28, 2002 - October 21, 2002
STONEX SECURITIES INC.
March 15, 2001 - May 8, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 13, 2000 - March 15, 2001
NATIONAL SECURITIES CORPORATION
March 31, 1995 - September 25, 2000
THE AGEAN GROUP, INC
October 12, 1994 - March 30, 1995
JWGENESIS SECURITIES, INC.
April 19, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
July 27, 1992 - February 4, 1994
H.J. MEYERS & CO., INC.
January 2, 1987 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
January 14, 1985 - January 2, 1987
MICHELIN AND COMPANY, INC.
August 21, 1984 - January 25, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| 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.
