James Polyak is a registered investment advisor at Morgan Stanley, based in New York, NY, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
399 Park Avenue, 12th Floor, New York, NY, 10022
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Regulatory History (1)
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Customer Dispute
October 2008Denied
Other Business Activities
James is a board member for the NYSE Hearing Board since 2014. This activity requires minimal time outside of business hours.
Employment History
Current Registrations
Morgan Stanley
May 2014 - Present · 12 yrs
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
November 2000 - June 2009 · 8 yrs 7 mos
Dean Witter Reynolds INC.Broker
February 1997 - November 2000 · 3 yrs 9 mos
Murphey, Marseilles, Smith & Nammack, INC.Broker
June 1996 - February 1997 · 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1993 - June 1996 · 3 yrs
Hibbard Brown & CO., INC.Broker
November 1992 - March 1993 · 4 mos
State Registrations48 states
AKALAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.