Pola V. Congelio
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.
Pola Virginia Congelio, who also goes by Jenny Congelio, Pola V Congelio, was a registered financial professional .
Pola is a previously registered financial professional and started their career in finance in 2013. Pola had worked at 1 firm and has passed the Series 66, 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
August 7, 2013 - November 7, 2016
HAZLETT, BURT & WATSON, INC.
May 27, 2013 - November 7, 2016
HAZLETT, BURT & WATSON, INC.
Primary Firm SEC Registration
HAZLETT, BURT & WATSON, INC.
CRD#: 396 / SEC#: 801-66333, 8-17737
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
Current Firm
HAZLETT, BURT & WATSON, INC.
CRD#: 396 / SEC#: 801-66333, 8-17737
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HB&W, INC. | PARENT COMPANY | |
| BARICKMAN, MICHAEL THOMPSON | EXEC VP / DIRECTOR | 1535665 |
| BIDWELL, TIMOTHY MORGAN | EXEC VP / CFO / CHIEF COMPLIANCE OFFICER / DIRECTOR | 4296834 |
| BURECH, HAROLD BRUCE | DIRECTOR /SR VP | 856313 |
| ECHOLS, MARILYNN SUE | EXECUTIVE VICE PRESIDENT / DIRECTOR | 818946 |
| MARSH, JASON LEE | CHAIRMAN / CEO / DIRECTOR | 4792963 |
| WEAVER, GEORGE SPERRY III | SR EXEC VP / DIRECTOR | 1061710 |
Regulatory assets under management
| Total Number of Accounts | 2,314 |
| AUM (Assets Under Management) | $ 1,197,878,280 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/19/2023 | ||
| 11/30/2022 |
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.
