DP
Daniel Polachek
Some features on this profile are disabled
CRD#: 5603621
DP
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.
Daniel Polachek was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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)J. & G.S TRUST; POSITION: TRUSTEE NATURE: TRUST PAY QUARTERLY DISTRIBUTIONS OF INCOME INVESTMENT RELATED: No #OF HOURS:1 TRADING HOURS: 1 START DATE:02/05/09; ADDRESS: 335 SOUTH ST, P O BOX 234, NORTHAMPTON MA 01061-0234, United States DESCRIPTION: DISTRIBUTIONS PAID QUARTERLY, INVESTMENT ONLY IN TAX EXEMPT INVESTMENT 2)R.C.B. TRUST; POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No #OF HOURS: 2 TRADING HOURS: 2 START DATE: 09/15/10 ADDRESS:335 SOUTH ST, P O BOX 234, NORTHAMPTON MA 01061-0234, United States DESCRIPTION: QUARTERLY DISTRIBUTIONS OF INCOME TO BENEFICIARY 3)INDEXED ANNUITY SALES; POSITION: SALES NATURE: AMERICAN GENERAL LIFE INSURANCE COMMPANY INVESTMENT RELATED: Yes #OF HOURS:2 TRADING HOURS: 1 START DATE:10/15/14 Address: DESCRIPTION: SALES 4)ECAC, COLONIAL LEAGUE AND W MASS FOOTBALL ASSN; POSITION: CLOCK OPERATOR FOR FOOTBALL GAMES NATURE: FOOTBALL OFFICIAL INVESTMENT RELATED: No #OF HOURS:10 TRADING HOURS: 0 START DATE:09/01/02; ADDRESS: 335 SOUTH ST, P O BOX 234, N Hampton MA; DESCRIPTION: FIELD FOOTBALL OFFICIAL AND COLLEGE GAME CLOCK OPERATOR 5)FARM; POSITION: OWNER NATURE: FARMING INVESTMENT RELATED: No #OF HOURS: 10 TRADING HOURS:0 START DATE:01/01/85 ADDRESS: 95 JACKSON ST, NORTHAMPTON MA; DESCRIPTION: FARM ON MY HOME LAND 6)RENTAL PROPERTY; POSITION: OWNER NATURE: CPA OFFICE SPACE INVESTMENT RELATED: Yes #OF HOURS:1 TRADING HOURS:0 START DATE: 01/01/98; ADDRESS: 335 SOUTH ST, P O BOX 234, N Hampton MA; DESCRIPTION: RENTAL REAL ESTATE FOR CPA AND INVESTMENT OFFICE 7)DANIEL W POLACHEK P.C.; POSITION: CPA NATURE: CPA FIRM INVESTMENT RELATED: No #OF HOURS: 420 TRADING HOURS: 420 START DATE: 10/31/92; ADDRESS: 335 SOUTH ST, P O BOX 234, NORTHAMPTON MA; DESCRIPTION: CPA FIRM 8)EASTHAMPTON SAVINGS BANK; POSITION: INCORPORATOR NATURE: SAVINGS BANK INVESTMENT RELATED: Yes #OF HOURS: 1 TRADING HOURS: 1 START DATE: 04/01/08; ADDRESS: MAIN STREET, EASTHAMPTON MA; DESCRIPTION: ONE MEETING PERYEAR 9) MAINSAIL ADVISOR GROUP, LLC; POSITION: Financial Advisor NATURE: FINANCIAL PLANNING AND INVESTMENT MANAGEMENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/19/2022; ADDRESS: 335 South Street, Northampton MA 01061, United States; DESCRIPTION: Financial Advisor
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®
NoneExperience
Past
October 25, 2019 - February 28, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - February 28, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
NORTHAMPTON, MA
Past
December 16, 2008 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
NORTHAMPTON, MA
Past
November 13, 2008 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
NORTHAMPTON, MA
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
