Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joann? Claim Your ProfileJoann Polis is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Joann Polis has 22 years of experience in the securities industry. Joann Polis is registered with the following securities authorities: State of New Jersey, State of Texas. Joann Polis is also registered with the following securities authorities: Financial Industry Regulatory Authority (FINRA). Joann Polis's registration status is Active. Joann Polis has passed the following securities exams: Uniform Combined State Law Examination, Securities Industry Essentials Examination, General Securities Representative Examination. Joann Polis's firm is Merrill Lynch, Pierce, Fenner & Smith Inc.
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
NJ
01/13/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MANASQUAN NJ)
BOTH
Issued 11/29/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2001
Series 7 - General Securities Representative 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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