Gary L. Polakoff
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.
Gary L Polakoff was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2000. Gary had worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - August 8, 2025
AWM GLOBAL ADVISORS
March 30, 2012 - April 14, 2014
MORGAN STANLEY
March 30, 2012 - April 14, 2014
MORGAN STANLEY
November 10, 2006 - April 9, 2012
UBS FINANCIAL SERVICES INC.
November 10, 2006 - April 9, 2012
UBS FINANCIAL SERVICES INC.
May 30, 2000 - November 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2000 - November 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
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
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 90,545,310 |
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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