Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Polly? Claim Your ProfilePolly Peters is a financial advisor with over 23 years of experience in the industry. Polly currently works for Oppenheimer & Co. Inc. in the New York branch office. Polly has passed the Series 7, Series 52TO, Series 53, Series 63, and Series 99TO exams, and is also a registered representative in Kansas, New York, Oklahoma, and South Dakota. Before working with Oppenheimer & Co. Inc., Polly worked for A. G. Edwards & Sons, Inc.. Polly specializes in providing financial planning and investment advice to corporations, individuals, insurance companies, and charitable organizations. Polly also offers portfolio management services for businesses, individuals, and pooled investment vehicles.
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.
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.
1
2
NY
05/09/2001 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
MO
05/26/2000 - 05/09/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BC
Issued 06/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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