Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Poliner is a financial advisor currently registered with Janney Montgomery Scott LLC in Glastonbury, CT. James has over 27 years of experience in the financial services industry and has been registered with various firms during his career, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, LPL Financial LLC, UBS Financial Services Inc., Advest, Inc., and Lew Lieberbaum & Co., Inc. James holds multiple licenses including Series 7, 10, 9, 63 and 65. James is a licensed advisor in over 40 states.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
Fee plus commission
1
2
CT
08/31/2017 - Present
Janney Montgomery Scott LLC (GLASTONBURY CT)
CT
09/04/2012 - 09/01/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HARTFORD CT)
CT
02/19/2010 - 09/11/2012
LPL FINANCIAL LLC (AVON CT)
CT
10/28/2005 - 03/12/2010
UBS FINANCIAL SERVICES INC. (HARTFORD CT)
MA
12/20/1996 - 11/01/2005
ADVEST, INC. (SPRINGFIELD MA)
NY
11/29/1996 - 03/03/1997
LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)
IA
Issued 01/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/07/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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