Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Polica? Claim Your ProfilePolica Penn is a registered investment advisor representative with J.p. Morgan Securities LLC. Penn has been in the securities industry since 2007. Penn is registered with the state of Texas and holds Series 6, 7, 63, and 66 licenses as well as the SIE exam. Penn is also registered with the state of Texas as an Investment Advisor Representative. Polica Penn has previously worked at Chase Investment Services Corp. and J.P. MORGAN SECURITIES LLC.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
01/03/2017 - Present
J.p. Morgan Securities LLC (Georgetown TX)
TX
10/01/2012 - 12/31/2013
J.P. MORGAN SECURITIES LLC (AUSTIN TX)
TX
07/04/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
BOTH
Issued 12/22/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/18/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2016
Series 7 - General Securities Representative Examination
BC
Issued 07/03/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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