Individual Firm
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Brett RICHARD Polzin
Brett R. Polzin
CRD#: 6198165
IA
B
EIGHT PEAKS WEALTH MANAGEMENTCRD#: 327701 PARKER, CO
0
Disclosures
10
Years of Experience
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State Registrations
IA
Colorado 8/8/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/10/2023 - 06/12/2023 | GREENWOOD VILLAGE, CO | |
B | 02/10/2023 - 06/12/2023 | GREENWOOD VILLAGE, CO | |
IA | 04/01/2021 - 04/01/2022 | Lone Tree, CO | |
B | 04/01/2021 - 04/01/2022 | Lone Tree, CO | |
IA | 09/03/2020 - 02/08/2021 | ENGLEWOOD, CO | |
B | 07/31/2020 - 02/08/2021 | ENGLEWOOD, CO | |
B | 12/21/2015 - 07/17/2020 | GREENWOOD VILLAGE, CO | |
IA | 09/10/2013 - 10/01/2015 | MARINETTE, WI | |
B | 07/08/2013 - 10/01/2015 | MARINETTE, WI |
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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.