Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Earl Polk is an investment advisor representative currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since July 21, 2019, and holds Series 66, Series 7TO, and SIE licenses. James's current registration is active in Arkansas, Colorado, Florida, Georgia, Louisiana, New Mexico, Oklahoma, and Texas. James's firm, Merrill Lynch, Pierce, Fenner & Smith Inc. is a large, well-established firm with a broad range of investment services. The firm is headquartered in New York City and manages over $1 trillion in assets. The firm's client base is diverse and includes individuals, corporations, insurance companies, and pension plans. Merrill Lynch, Pierce, Fenner & Smith Inc. offers a wide range of investment services, including financial planning, portfolio management, and investment research.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
08/12/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KATY TX)
BOTH
Issued 08/09/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/20/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/21/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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