Lois M. Dzik
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.
Lois Marie Dzik, who also goes by Lois Marie Polkabla, was a registered financial professional .
Lois is a previously registered financial professional and started their career in finance in 1980. Lois had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2014 - December 31, 2014
KOVACK SECURITIES INC.
August 27, 2001 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
November 6, 2000 - August 28, 2001
WALNUT STREET SECURITIES, INC.
January 22, 1992 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
January 22, 1992 - August 7, 1995
WESTCAP SECURITIES, L.P.
October 3, 1988 - April 12, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
August 4, 1987 - September 19, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
March 20, 1980 - September 19, 1988
WESTCAP SECURITIES, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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