John Polanin
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.
John Polanin, who also goes by John Polanin Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 7, Series 14, Series 8 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
October 29, 2019 - January 2, 2024
MACQUARIE CAPITAL (USA) INC.
October 25, 2011 - June 3, 2015
MACQUARIE CAPITAL (USA) INC.
January 6, 2006 - October 18, 2011
UBS FINANCIAL SERVICES INC.
December 4, 2000 - January 4, 2006
UBS SECURITIES LLC
October 22, 1999 - December 4, 2000
UBS FINANCIAL SERVICES INC.
July 1, 1998 - October 21, 1999
COWEN AND COMPANY
August 12, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
February 28, 1994 - July 19, 1996
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 8
Date: 11/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
