Michael J. Polakovic

LEGIONCE INVESTMENT ADVISORS

Englewood, CO 80112

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CRD#: 4498827

Professional summary

Michael John Polakovic is a registered financial advisor currently at LEGIONCE INVESTMENT ADVISORS, INC. located in Englewood, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael John Polakovic's CRS (Customer Relationship Summary).

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

Current

January 13, 2023 - Present

LEGIONCE INVESTMENT ADVISORS, INC.

Office #1: 88 Inverness Circle East, Suite D-101, Englewood, CO 80112

RIA

CRD#: 112472

Englewood, CO

Past

March 31, 2011 - December 31, 2022

LEGIONCE INVESTMENT ADVISORS, INC.

RIA

CRD#: 112472

ENGLEWOOD, CO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/19/2023)

IAR

Texas
(1/13/2023)

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: 3/30/2011

Uniform Investment Adviser Law Examination

Current Firm

LEGIONCE INVESTMENT ADVISORS, INC.

ALLEGIANT INVESTMENT ADVISORS, LLC | SCHAFFNER & ASSOC. LLC | LEGIONCE INVESTMENT ADVISORS, LLC | LEGIONCE INVESTMENT ADVISORS, INC.

CRD#: 112472 / SEC#: 801-67155

RIA

Registered Investment Advisory firm - (4/26/2011 Terminated)

Colorado

Registered Investment Advisory firm - (1/1/1999 Approved)

Texas

Registered Investment Advisory firm - (1/13/2023 Conditional Restricted)

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).

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Contact information

Main Address

88 Inverness Circle East, Suite D-101, Englewood, CO 80112

Mailing Address

Phone number

(303) 858-1500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	56
AUM (Assets Under Management)	$ 15,030,731

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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Michael J. Polakovic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Polakovic's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGIONCE INVESTMENT ADVISORS, INC.

LEGIONCE INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2011

Current Firm

LEGIONCE INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGIONCE INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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