Vincent M. Polivka
Professional summary
Vincent Mark Polivka is a registered financial advisor currently at VANGUARD CAPITAL located in Hendersonville, Tennessee.
Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Vincent has worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 24, Series 53, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Mark Polivka's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2016 - Present
VANGUARD CAPITAL
February 5, 2016 - December 31, 2016
VANGUARD CAPITAL
February 9, 1999 - December 31, 2016
VANGUARD CAPITAL
November 27, 1987 - May 30, 1997
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
VANGUARD CAPITAL
CRD#: 285052 / SEC#: 801-108419
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/21/2016)
(3/6/2025)
Exams
Series 55
Date: 5/18/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 10/28/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD CAPITAL
CRD#: 285052 / SEC#: 801-108419
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 403 |
| AUM (Assets Under Management) | $ 171,298,998 |
Red Flags
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