Aurica E. Pollacchi
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.
Aurica Elena Pollacchi, who also goes by Aurica Elena Puopolo, was a registered financial professional .
Aurica is a previously registered financial professional and started their career in finance in 1964. Aurica had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - December 18, 2018
CADARET, GRANT & CO., INC.
January 6, 2003 - December 31, 2009
MEDALLION INVESTMENT SERVICES, INC.
January 28, 1985 - December 31, 2002
PALMER, POLLACCHI & CO., INC.
July 6, 1983 - December 27, 1984
WZW FINANCIAL SERVICES, INC.
September 24, 1973 - July 5, 1983
CORNERSTONE FINANCIAL SERVICES, INC.
October 7, 1971 - September 7, 1973
FUNDED EQUITIES
November 20, 1964 - February 21, 1973
PALMER, POLLACCHI & CO., 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 1
Date: 11/17/1964
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
