Stephen S. S. Polak

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CRD#: 5035036

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.

Stephen S. Stanley Polak, who also goes by Stephen S Polak, Stephen Stanley Polak, Stephen S Polak Cpa, was a registered financial professional .

Stephen S. is a previously registered financial professional and started their career in finance in 2005. Stephen S. had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen S Polak | Stephen Stanley Polak | Stephen S Polak Cpa

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) Avantax Insurance Agency, LLC~'IR'~2523 Bridgeway St., Murfreesboro TN 37128Equity Indexed Annuity~Agent~6/22/2020~40hrs~60hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 2) Texas A&M University, School of Law~'NIR'~1515 Commerce St~Fort Worth~TX~76102~Other~Employee~9/1/2017~12hrs~12hrs~Develop and teach graduate law courses. 3) STEPHEN S. POLAK,CPA,CFE,PFS - PLLC; POSITION: Owner NATURE: I own and operate a CPA. Financial Advisory firm. INVESTMENT RELATED: Yes NUMBER OF HOURS: 64 SECURITIES TRADING HOURS: 64 START DATE: 01/01/2020; 2523 Bridgeway St., Murfreesboro TN 37128, US; I offer standard CPA and Financial and Insurance Products. 4) AL SAFWA LAW FIRM; POSITION: Advisor NATURE: Review CLE courses INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: Al Jamaan Plaza, 2524 60th St. Office (1), Al Malaz, Riyadh, KSA TN 12836, US; Make sure spelling, grammar, syntex, punctuation are correct. 5) MIDDLE EAST LIGHTHOUSE CONSULTANTS; POSITION: President NATURE: Professional Financial Education INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 16 START DATE: 01/01/2013; Al Jamaan Plaza, 2524 60th St. Office (1), Al Malaz, Riyadh, KSA TN 12836, US; Oversee the running of the company (remotely). 6) GLOBAL ACADEMY OF FINANCE & MANAGEMENT; Board Member; Welcome to GAFM Global Academy of Finance and Management Standards & Accreditation Council. Our Certification Body regulates the standards for our Accredited Certification Programs; INVESTMENT RELATED: No; 16; 0; STARTED 01/01/2013; BOX 293, 1670F EAST CHEYENNE MTN. BLVD., COLORADO SPRINGS CO 80906, US; Read to see if courses comply with rules and regulations.

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 24, 2020 - October 10, 2022

AVANTAX ADVISORY SERVICES

CRD#: 265

MONTPELIER, VT

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.

Exams

State Security Law Exam

Series 63

Date: 10/19/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/19/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/24/2016

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/12/2005

General Securities Representative Examination

Current Firm

AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Mailing Address

Phone number

(972) 870-6000

Established

Firm type

Fiscal year end

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	140,306
AUM (Assets Under Management)	$ 46,109,939,749

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/13/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/16/2022	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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Stephen S. S. Polak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX INVESTMENT SERVICES, INC.

ARCHER INVESTMENT CORPORATION

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

NYLIFE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/2016

Series 66

Date: 11/19/2005

SIE

Date: 9/26/2018

Series 6

Date: 10/24/2016

Series 7

Date: 11/12/2005

Current Firm

AVANTAX ADVISORY SERVICES

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AVANTAX ADVISORY SERVICES

TRUST BUT VERIFY

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