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Polly Jane Brooks

John Hancock Distributors LLC

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About Polly Jane Brooks

Polly Jane Brooks is an investment advisor registered in multiple states. Polly has been active in the financial industry since April 2001 and has worked for several firms, including GWFS Equities, Inc., Prudential Investment Management Services LLC, and Cetera Advisor Networks LLC. Polly is currently registered with John Hancock Distributors LLC. Polly's current role is focused on providing investment advice to clients. Polly is committed to helping clients achieve their financial goals.

Firm Information

Polly Brooks is currently registered with John Hancock Distributors LLC. John Hancock Distributors LLC is a Limited Liability Company formed on August 1, 2001. The firm is registered in all 50 states and the District of Columbia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

218

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Polly Brooks’s Registration & Firm History

MA

06/08/2022 - Present

John Hancock Distributors LLC (BOSTON MA)

CO

04/04/2022 - 05/20/2022

GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)

NJ

07/01/2020 - 04/04/2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

GA

08/10/2017 - 05/13/2020

CETERA ADVISOR NETWORKS LLC (ALPHARETTA GA)

IA

06/06/2005 - 06/29/2016

PRINCIPAL SECURITIES, INC. (DES MOINES IA)

NY

08/28/2003 - 04/22/2005

MMC SECURITIES CORP. (NEW YORK NY)

CO

10/21/2002 - 08/14/2003

BENEFITSCORP EQUITIES, INC. (GREENWOOD VILLAGE CO)

CO

10/29/1999 - 10/21/2002

ONE ORCHARD EQUITIES, INC. (GREENWOOD VILLAGE CO)

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Licenses & Designations

IA

Issued 10/04/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/22/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/31/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/17/2005

Series 7 - General Securities Representative Examination

BC

Issued 10/28/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Polly Jane Brooks.
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