Alan V. Polo
Professional summary
Alan Vincent Polo, who also goes by Alan VIncent Polo, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.
Alan is registered as a RR (Registered Representative) and started their career in finance in 2004. Alan has worked at 5 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Vincent Polo's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2023 - Present
LIQUIDNET, INC.
Office #1: 200 Vesey Street 5th Floor, New York, NY 10281October 9, 2014 - January 20, 2021
SANFORD C. BERNSTEIN & CO., LLC
October 14, 2008 - September 5, 2014
VIRTU ITG LLC
September 22, 2008 - February 4, 2009
BARCLAYS CAPITAL INC.
March 6, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
January 15, 2004 - February 28, 2006
VIRTU ITG LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2023)
(1/20/2023)
(1/18/2023)
(3/24/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 12/17/2022
General Securities Representative ExaminationSeries 55
Date: 6/6/2006
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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