Victor Polakoff
Professional summary
Victor Polakoff was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Victor is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Victor had worked at 9 firms, which includes CANTONE RESEARCH INC., GLEN RAUCH SECURITIES INC., STATE CAPITAL MARKETS CORPORATION, GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., REYNOLDS SECURITIES INC., GOODBODY AND CO INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2003 - October 11, 2017
CANTONE RESEARCH INC.
July 12, 1998 - October 31, 2017
CANTONE RESEARCH INC.
November 14, 1995 - June 29, 1998
GLEN RAUCH SECURITIES, INC.
February 23, 1995 - November 24, 1995
STATE CAPITAL MARKETS CORPORATION
June 28, 1991 - February 15, 1995
GRUNTAL & CO., L.L.C.
August 25, 1989 - July 12, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1977 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 29, 1971 - May 15, 1977
REYNOLDS SECURITIES, INC.
December 23, 1970 - April 30, 1971
GOODBODY AND CO INCORPORATED
December 11, 1970 - November 26, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 15
Date: 12/7/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/20/1981
Interest Rate Options ExaminationSeries 1
Date: 11/6/1968
Registered Representative ExaminationSeries 12
Date: 6/8/1979
NYSE Branch Manager ExaminationSeries 40
Date: 9/27/1976
Registered Principal ExaminationCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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