Antoinette A. Polkowski
Professional summary
Antoinette Ann Polkowski is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York.
Antoinette is registered as a RR (Registered Representative) and started their career in finance in 1996. Antoinette has worked at 7 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Antoinette Ann Polkowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2014 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119August 10, 2007 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
November 13, 2006 - August 10, 2007
COLLINS STEWART INC.
January 8, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
April 24, 2003 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
March 8, 2000 - December 9, 2002
APEX CLEARING CORPORATION
September 19, 1996 - January 27, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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