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Information

Firm:
Type: Dual Registration
Description

Denis Poljak is a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,800 registered representatives nationwide. Denis has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Denis Poljak has not answered any questions on Financial Q&A.

Top Guides

Denis Poljak has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Morgan Stanley Smith Banrey Venture Services LLC 4 years, 10 months Jun 2009 - Present
Morgan Stanley & Co., Incorporated 5 years, 1 month Mar 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 13 years, 8 months Jul 1995 - Mar 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/09/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/09/2012
08/28/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 07/25/2005
Uniform Investment Adviser Law Examination Series 65 09/29/1995
Uniform Securities Agent State Law Examination Series 63 09/28/1995
General Securities Representative Examination Series 7 09/06/1995

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS