Loretta Polzin
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.
Loretta Polzin, who also goes by Loretta Mauler, was a registered financial professional .
Loretta is a previously registered financial professional and started their career in finance in 1994. Loretta had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2011 - September 4, 2024
FIRST ASSET FINANCIAL INC.
January 3, 2005 - February 11, 2011
QA3 FINANCIAL CORP.
March 27, 1996 - December 15, 2004
SECURITIES AMERICA, INC.
May 6, 1994 - April 3, 1996
THE O.N. EQUITY SALES COMPANY
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
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory 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.
