Anthony T. Polizzi

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CRD#: 4492512

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.

Anthony Thomas Polizzi, who also goes by Tony Thomas Polizzi, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2002. Anthony had worked at 5 firms and has passed the Series 65, Series 63, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Thomas Polizzi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 2, 2012 - December 31, 2015

ATLAS CAPITAL ADVISORS INC.

RIA

CRD#: 127036

SAN FRANCISCO, CA

Past

September 28, 2011 - November 9, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

SAN FRANCISCO, CA

Past

March 2, 2010 - August 29, 2011

ATLAS CAPITAL ADVISORS INC.

RIA

CRD#: 127036

SAN FRANCISCO, CA

Past

May 18, 2009 - October 29, 2009

LAWSON FINANCIAL CORPORATION

CRD#: 15261

SCOTTSDALE, AZ

Past

April 11, 2008 - April 27, 2009

ADVANCED EQUITIES, INC.

CRD#: 35545

SAN FRANCISCO, CA

Past

March 11, 2002 - November 5, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ATLAS CAPITAL ADVISORS INC.

ATLAS CAPITAL ADISORS | ATLAS CAPITAL ADVISORS LLC | ATLAS CAPITAL ADVISORS INC.

CRD#: 127036 / SEC#: 801-66544

RIA

Registered Investment Advisory firm - (5/3/2006 Approved)

California

Registered Investment Advisory firm - (5/22/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/10/2008

General Securities Representative Examination

Current Firm

ATLAS CAPITAL ADVISORS INC.

ATLAS CAPITAL ADISORS | ATLAS CAPITAL ADVISORS LLC | ATLAS CAPITAL ADVISORS INC.

CRD#: 127036 / SEC#: 801-66544

RIA

Registered Investment Advisory firm - (5/3/2006 Approved)

California

Registered Investment Advisory firm - (5/22/2006 Terminated)

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Contact information

Main Address

38 Keyes Ave Suite 200, San Francisco, CA 94129

Mailing Address

Phone number

(415) 354-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATLAS CAPITAL ADVISORS LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	481
AUM (Assets Under Management)	$ 1,054,159,676

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report
03/08/2024	Cover Page	Report
02/15/2023	Cover Page	Report

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.

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Firm Stability Insights

Anthony T. Polizzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

ATLAS CAPITAL ADVISORS INC.

LAWSON FINANCIAL CORPORATION

ADVANCED EQUITIES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ATLAS CAPITAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2010

Series 63

Date: 5/12/2008

Series 66

Date: 4/5/2002

Series 7

Date: 4/10/2008

Current Firm

ATLAS CAPITAL ADVISORS INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ATLAS CAPITAL ADVISORS INC.

TRUST BUT VERIFY

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