Adele M. 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.
Adele Millicent Polakoff, who also goes by Adele M Naidoff, was a registered financial professional .
Adele is a previously registered financial professional and started their career in finance in 1979. Adele had worked at 10 firms and has passed the Series 65, Series 63, 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 22, 2022 - January 3, 2023
B. RILEY WEALTH MANAGEMENT
March 31, 2021 - January 3, 2023
B. RILEY WEALTH ADVISORS, INC.
March 20, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
October 8, 2018 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
October 5, 2018 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
June 1, 2009 - October 9, 2018
MORGAN STANLEY
June 1, 2009 - October 9, 2018
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 24, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
May 24, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
May 23, 2002 - June 13, 2002
UBS FINANCIAL SERVICES INC.
February 21, 1996 - June 13, 2002
UBS FINANCIAL SERVICES INC.
September 15, 1989 - February 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1979 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
