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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Polley is a financial advisor who has been in the industry since 2006. John Michael is currently registered with Morgan Stanley. John Michael has held previous positions at MORGAN STANLEY & CO. INCORPORATED, WELLS FARGO INVESTMENTS, LLC, CRI SECURITIES, LLC, and SECURIAN FINANCIAL SERVICES, INC.. John Michael has earned the Series 3, 63, 7, 9, 10 and 65 licenses and the SIE exam. John Michael is registered in 53 states and the District of Columbia.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
05/04/2010 - Present
Morgan Stanley (Amarillo TX)
TX
06/26/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (AMARILLO TX)
MN
03/23/2007 - 05/29/2007
WELLS FARGO INVESTMENTS, LLC (BLOOMINGTON MN)
MN
07/27/2006 - 12/20/2006
CRI SECURITIES, LLC (ST. PAUL MN)
MN
07/27/2006 - 12/20/2006
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
IA
Issued 05/03/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/08/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/13/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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