Individual Firm
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JAMES LASZLO POLYAK
JIMMY POLYAK
CRD#: 2287627
IA
B
MORGAN STANLEYCRD#: 149777 399 Park Avenue
12th Floor
New York, NY 10022
12th Floor
New York, NY 10022
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10/9/2008
Customer Dispute
Denied
State Registrations
B
Alaska 8/13/2019
B
New Hampshire 8/17/2023
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 9/1/2020
IA
New York 6/16/2021
B
Connecticut 6/1/2009
B
North Carolina 2/14/2024
B
Delaware 6/1/2009
B
Oregon 10/8/2015
B
District of Columbia 2/5/2024
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
Rhode Island 12/6/2012
B
Georgia 5/2/2022
B
South Carolina 5/4/2018
B
Illinois 6/1/2009
B
Texas 5/14/2014
B
Indiana 8/13/2019
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Texas 5/19/2014
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 12/3/2021
B
Nevada 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 5/19/2014
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/10/2000 - 06/01/2009 | NEW YORK, NY | |
B | 02/27/1997 - 11/22/2000 | PURCHASE, NY | |
B | 06/24/1996 - 02/18/1997 | NEW YORK, NY | |
B | 06/17/1993 - 06/11/1996 | NEW YORK, NY | |
B | 11/16/1992 - 03/08/1993 | NEW YORK, NY |
NEW YORK, NY
11/16/1992 - 03/08/1993
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.