Michael S. Policar

NGP FINANCIAL PLANNING

Sammamish, WA

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CRD#: 6074746

Professional summary

Michael Steven Policar, who also goes by Michael Policar, is a registered financial advisor currently at NGP FINANCIAL PLANNING, LLC located in Sammamish, Washington.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Policar

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Policar's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 11, 2021 - Present

NGP FINANCIAL PLANNING, LLC

RIA

CRD#: 310443

Sammamish, WA

Past

September 25, 2019 - January 11, 2021

HIGHTOWER SECURITIES, LLC

CRD#: 116681

CHICAGO, IL

Past

February 21, 2018 - January 11, 2021

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Bellevue, WA

Past

October 20, 2014 - January 18, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BELLEVUE, WA

Past

October 20, 2014 - January 18, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BELLEVUE, WA

Past

August 10, 2012 - October 22, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, WA

Past

July 23, 2012 - October 22, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NGP FINANCIAL PLANNING, LLC

CRD#: 310443 / SEC#: 801-131851

RIA

Registered Investment Advisory firm - (1/21/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/4/2025 Terminated)

California

Registered Investment Advisory firm - (10/4/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2025 Terminated)

Washington

Registered Investment Advisory firm - (10/4/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(3/3/2021)

IAR

California
(1/18/2022)

IAR

Texas
(3/4/2021)

IAR

Washington
(1/11/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2012

General Securities Representative Examination

Current Firm

NGP FINANCIAL PLANNING, LLC

CRD#: 310443 / SEC#: 801-131851

RIA

Registered Investment Advisory firm - (1/21/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/4/2025 Terminated)

California

Registered Investment Advisory firm - (10/4/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/4/2025 Terminated)

Washington

Registered Investment Advisory firm - (10/4/2025 Terminated)

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Contact information

Main Address

Sammamish, WA

Mailing Address

Phone number

(425) 444-6715

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-2B (3/14/2025)

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 104,612,769

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.

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Advisor Monitoring

Firm Stability Insights

Michael S. Policar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Policar's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHTOWER SECURITIES, LLC

HIGHTOWER ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NGP FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2012

SIE

Date: 1/18/2018

Series 7

Date: 7/20/2012

Current Firm

NGP FINANCIAL PLANNING, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NGP FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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