Carol Polasky
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.
Carol Polasky, who also goes by Carol Ann Polasky, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2009. Carol had worked at 3 firms and has passed the Series 63, Series 66, Series 6TO, 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
July 13, 2023 - May 18, 2026
PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC
January 4, 2016 - June 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2015 - June 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2009 - March 28, 2012
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 7/13/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC
CRD#: 140139 / SEC#: , 8-67284
Contact information
FINRA licenses (5 States and Territories)
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.
