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Detailed Report
JOHN JOSEPH POLWREK
JJ POLWREK
CRD#: 6104786
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 16 N MARENGO AVE STE 409
PASADENA, CA 91101-6111
Registration History
20172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BWADDELL & REED (CRD# 866)2017 - 2021 (3 years)IAWADDELL & REED (CRD# 866)2019 - 2021 (1 year)
License(s)

State Registrations

B
Arizona 7/21/2021
B
North Carolina 7/21/2021
B
California 7/21/2021
B
Oregon 7/21/2021
IA
California 7/21/2021
B
Texas 7/21/2021
B
Colorado 7/6/2023
IA
Texas 7/21/2021
B
Nevada 7/21/2021
B
Washington 1/22/2025

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
LPL FINANCIAL LLC (CRD#:6413)
16 N MARENGO AVE STE 409, PASADENA, CA 91101-6111
PASADENA, CA
Registered with this firm since 7/21/2021
B
LPL FINANCIAL LLC (CRD#:6413)
16 N MARENGO AVE STE 409, PASADENA, CA 91101-6111
PASADENA, CA
Registered with this firm since 7/21/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/01/2019 - 07/21/2021 WADDELL & REED (CRD#:866) SAN JUAN CAPISTRANO, CA
B
 11/06/2017 - 07/21/2021 WADDELL & REED (CRD#:866) SAN JUAN CAPISTRANO, CA
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.