Ann H. Poloko
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.
Ann H Poloko, CFP®, who also goes by Ann Hanks, Ann Miskovich, Ann Poloko, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1995. Ann had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
Start date: 2004
Experience
August 29, 2023 - July 25, 2024
NORTHWEST ASSET MANAGEMENT
October 23, 2017 - October 7, 2023
ANN POLOKO, LLC
November 13, 2012 - October 30, 2017
NATIONAL PLANNING CORPORATION
November 12, 2012 - October 30, 2017
NATIONAL PLANNING CORPORATION
May 21, 2002 - November 12, 2012
LPL FINANCIAL LLC
May 21, 2002 - November 12, 2012
LPL FINANCIAL LLC
October 17, 1997 - May 28, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 17, 1997 - May 28, 2002
OSAIC FA, INC.
June 22, 1995 - October 30, 1997
IDS LIFE INSURANCE COMPANY
June 22, 1995 - October 30, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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