PP
Paul A. Pollatz
THE STRATEGIC FINANCIAL ALLIANCE
Mount Pleasant, MI 48858
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CRD#: 4660599
PP
Professional summary
Paul Arthur Pollatz is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Mount Pleasant, Michigan.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1. FIXED INSURANCE - INVESTMENT RELATED. 210 COURT STREET, STE. C, MOUNT PLEASANT, MI 48858. OFFERING FIXED INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE PROVIDERS. AGENT. 01/2009. 80 HRS/MONTH, 80 DURING TRADING. INSURANCE SALES. 2. GROWTHPOINT ADVISORS, LLC - INVESTMENT RELATED. 210 COURT STREET, STE. C, MOUNT PLEASANT, MI 48858. DBA FOR MARKETING FINANCIAL SERVICES. FINANCIAL ADVISOR. 06/2017. 160 HRS/MONTH, 130 DURING TRADING. FINANCIAL SERVICES. 3.Name: Ann Arbor City On A Hill Position: Director Nature: Charitable organization created to retain the essence of Concordia University-Ann Arbor in it's ongoing pursuit of Faith, Education and Mission. This group is working with attorneys to explore options to continue the mission of the university beyond 2025. Rep shares check writing responsibilities with Financial Secretary- but this is a non-compensated, volunteer role. Investment Related: No Hours: 10 Securities Trading Hours: 5 Start Date: 08/08/2024 Address: 387 West Bluegrass, Mount Pleasant MI 48858, United States Description: Coordinating various Board meetings. Interfacing with legal professionals and other advocacy groups related to the preservation of Concordia University-Ann Arbor. Recruiting other members for the wider group of Ann Arbor City on a Hill (ACOAH) members.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Arthur Pollatz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Arthur Pollatz'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®
NoneExperience
Current
January 16, 2015 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 210 Court Street, Mount Pleasant, MI 48858RIA
BD
CRD#: 126514
Mount Pleasant, MI
Current
January 2, 2015 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 210 Court Street, Mount Pleasant, MI 48858RIA
BD
CRD#: 126514
Mount Pleasant, MI
Past
October 29, 2010 - December 31, 2014
G. A. REPPLE & COMPANY
RIA
CRD#: 17486
MT PLEASANT, MI
Past
January 23, 2009 - December 31, 2014
G. A. REPPLE & COMPANY
BD
CRD#: 17486
MT PLEASANT, MI
Past
January 14, 2009 - December 31, 2009
G. A. REPPLE & COMPANY
RIA
CRD#: 17486
MT PLEASANT, MI
Past
August 17, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MOUNT PLEASANT, MI
Past
August 26, 2003 - November 26, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MOUNT PLEASANT, MI
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(8/23/2022)
RR
Florida(1/2/2015)
RR
Georgia(5/10/2021)
RR
Indiana(1/3/2022)
RR
Massachusetts(7/28/2023)
RR
Michigan(1/2/2015)
IAR
Michigan(1/16/2015)
RR
North Carolina(3/5/2020)
RR
Oklahoma(1/2/2015)
RR
Texas(11/9/2018)
RR
Vermont(1/7/2016)
RR
Virginia(4/18/2023)
RR
Wisconsin(4/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
