TP
Thomas P. Polifka
Previously Registered
CRD#: 4850868
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TP
Thomas Patrick Polifka
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Patrick Polifka, who also goes by Tom Patrick Polifka, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Biography
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Top 8 Ask Questions to Ask a Financial Advisor
1. What makes you the best choice for clients?
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2. What are your service offerings?
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3. Do you have an area of expertise or specialization?
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4. Which demographics do you typically serve?
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5. What is your current number of clients?
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6. What is your minimum asset requirement?
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7. How do you get paid?
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8. Are you a "fiduciary"?
No
Personal quote
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Aliases
Tom Patrick Polifka
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
