DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner24 years in industry

Stephen Paul Polizzi

Advisor at CREATIVE PLANNING

Stamford, CT | OVERLAND PARK, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4f9122d6-860a-69bb-8541-76258c4a568d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 16, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CREATIVE PLANNING
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 28, 2002
First registration: Jul 16, 2009
Dual registered: no
IAPD individual key: 4126353

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CREATIVE PLANNING	Independent wealth	Nov 6, 2025	n/a	yes	Stamford, CT\|OVERLAND PARK, KS	Current employment
NEUBERGER BERMAN BD LLC	No RAUM reported	Sep 8, 2017	Nov 7, 2025	no	NEW YORK, NY\|STAMFORD, CT	Previous registration
MORGAN STANLEY	Wirehouse	Mar 14, 2012	Aug 28, 2013	no	JERICHO, NY\|Melville, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 16, 2009	Feb 25, 2010	no	RIDGEFIELD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEUBERGER BERMAN BD LLC	CREATIVE PLANNING	Nov 7, 2025	Nov 6, 2025	-1	Firm change	Other
MORGAN STANLEY	NEUBERGER BERMAN BD LLC	Aug 28, 2013	Sep 8, 2017	1,472	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MORGAN STANLEY	Feb 25, 2010	Mar 14, 2012	748	Firm change after gap	Other

Relationships

Registered with (4)

→ CREATIVE PLANNINGRegistered adviserregistration: current employment
Nov 6, 2025 to presentfactForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Sep 8, 2017 to Nov 7, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 14, 2012 to Aug 28, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jul 16, 2009 to Feb 25, 2010factForm ADV

Dated events

Occurred
Nov 7, 2025
Advisor changed firm
Stephen Paul Polizzi left Neuberger Berman Bd Llc for Creative Planning (registered 2025-11-06)
Form ADVobserved 6 days ago