Guillermo PollitzerCRD Number: 3121699
Current Firm: Northeast Asset Management, Inc.
Guillermo Pollitzer (CRD# 3121699) is an Investment Advisor Representative working at Northeast Asset Management, Inc. in Mitchell Field, NY and has over 16 years of experience in the finance industry.
Legacy Care Wealth, LLC
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
|Northeast Securities Inc.||Buenos Aires,||Apr 2010 - Current||6|
|Wachovia Securities, LLC||Richmond, VA||Jul 2003 - Apr 2010||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2000|
|S65||NASAA Investment Advisors Law Examination||Jan 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management347MILLIONS
Total Number of Accounts850ACCOUNTS
Average Account Value$408,028
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MI, MO, NC, NE, NJ, NM, NY, OH, PA, PR, SC, TN, TX, VA, WV