Polly E. Stephany
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.
Polly Elizabeth Bjornson Stephany, who also goes by Polly Elizabeth Bjornson, Polly E Stephany, Polly Elizabeth Stephany, was a registered financial professional .
Polly is a previously registered financial professional and started their career in finance in 2011. Polly had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2016 - December 31, 2017
GUZEK ASSET MANAGEMENT
January 21, 2014 - October 7, 2021
LPL FINANCIAL LLC
March 30, 2011 - October 7, 2021
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
GUZEK ASSET MANAGEMENT
CRD#: 139486 / SEC#:
Contact information
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.
