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Denis Poljak

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Information

Firm:
Type: Dual Registration
Description

Denis Poljak is a financial professional at Morgan Stanley, a broker-dealer with over 24,300 registered representatives nationwide. Denis has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Morgan Stanley Smith Barney 5 years, 5 months Jun 2009 - Present
Morgan Stanley & Co. Incorporated 5 years, 8 months Mar 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 13 years, 8 months Jul 1995 - Mar 2009
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/29/1995
Uniform Securities Agent State Law ExaminationSeries 63 09/28/1995

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
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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