Peter A. Polakoff
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.
Peter Alan Polakoff, who also goes by Pete Polakoff, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1976. Peter had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, PC, Series 24, Series 53 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1999 - November 28, 2018
HERBERT J. SIMS & CO, INC.
November 13, 1996 - December 8, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 1996 - October 21, 1996
RYAN BECK & CO.
July 11, 1995 - March 12, 1996
GMS GROUP
August 17, 1994 - June 30, 1995
FAIC SECURITIES, INC.
April 6, 1988 - January 7, 1989
GRUNTAL & CO., L.L.C.
June 7, 1985 - January 19, 1988
BLUNT ELLIS & LOEWI INCORPORATED
January 14, 1985 - August 20, 1986
ESSEX PARTNERS, LTD.
October 23, 1980 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
April 11, 1979 - November 21, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 13, 1976 - May 14, 1979
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
PC
Date: 5/1/1985
AMEX Put and Call ExamSeries 00
Date: 11/24/1975
General Securities Principal ExaminationCurrent Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
