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Detailed Report
Heath Andrew Polzer
HEATH ANDREW POLZER, Heath Polzer
CRD#: 5082873
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Orange, CA
Registration History
200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2021 - 2022 (<1 year)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2006 - 2020 (14 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2006 - 2006 (<1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2022 - 2022 (<1 year)
Disclosure(s)
View By:
7/11/2008
Regulatory
Final
License(s)

State Registrations

IA
California 7/6/2022
B
California 7/11/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Orange, CA
Registered with this firm since 7/6/2022
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Orange, CA
Registered with this firm since 7/6/2022
Previous Registration(s)
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IA
 02/08/2022 - 05/09/2022 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) IRVINE, CA
B
 08/19/2021 - 05/09/2022 PRUCO SECURITIES, LLC. (CRD#:5685) IRVINE, CA
B
 10/12/2006 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) NEWPORT BEACH, CA
B
 01/26/2006 - 07/03/2006 SIGNATOR INVESTORS, INC. (CRD#:468) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.