Nathaniel J. Polachek
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.
Nathaniel Joseph Polachek was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1999. Nathaniel had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 55, 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
Experience
February 13, 2017 - November 3, 2020
OLD CITY SECURITIES LLC
July 30, 2015 - August 5, 2016
GUGGENHEIM SECURITIES, LLC
March 15, 2012 - March 13, 2015
ALPS DISTRIBUTORS, INC.
January 15, 2010 - June 21, 2010
GFI SECURITIES LLC
June 4, 2001 - February 13, 2007
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 8, 1999 - September 15, 1999
WORLDCO, L.L.C.
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 7TO
Date: 7/7/2022
General Securities Representative ExaminationSeries 55
Date: 1/28/2010
Limited Representative-Equity Trader ExamCurrent Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
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