Stephen 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.
Stephen Shepard Polan, CFP® was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
October 11, 2022 - May 1, 2025
MAI CAPITAL MANAGEMENT, LLC
January 5, 2012 - October 5, 2022
PRIME INVESTMENT ADVISORS
March 18, 2011 - December 31, 2011
PRIME INVESTMENT ADVISORS
October 26, 1998 - October 31, 2000
SECURITIES SERVICE NETWORK, LLC
May 22, 1986 - May 7, 1998
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
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
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40,758 |
| AUM (Assets Under Management) | $ 29,630,499,856 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 01/28/2024 |
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.
