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Detailed Report
MICHAEL Steven POLICAR
MICHAEL POLICAR
CRD#: 6074746
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Investment Adviser
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Previous Broker
NGP FINANCIAL PLANNING, LLCCRD#: 310443 SAMMAMISH, WA
Registration History
201220142016201820202022202420262 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - 2018 (3 years)IANGP FINANCIAL PLANNING, LLC (CRD# 310443)2021 - Present (4 years)BHIGHTOWER SECURITIES, LLC (CRD# 116681)2019 - 2021 (1 year)IAHIGHTOWER ADVISORS, LLC (CRD# 145323)2018 - 2021 (2 years)
Disclosure(s)
View By:
8/24/2015
Customer Dispute
Denied
License(s)

State Registrations

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Arizona 3/3/2021
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Texas 3/4/2021
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California 1/18/2022
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Washington 1/11/2021
Current Registration(s)
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NGP FINANCIAL PLANNING, LLC (CRD#:310443)
SAMMAMISH, WA
Registered with this firm since 1/11/2021
Previous Registration(s)
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 02/21/2018 - 01/11/2021 HIGHTOWER ADVISORS, LLC (CRD#:145323) Bellevue, WA
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 09/25/2019 - 01/11/2021 HIGHTOWER SECURITIES, LLC (CRD#:116681) CHICAGO, IL
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 10/20/2014 - 01/18/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
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 10/20/2014 - 01/18/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
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 08/10/2012 - 10/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) BELLEVUE, WA
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 07/23/2012 - 10/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.