Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Homer Polk is an active Registered Representative in the state of New York. Samuel is registered to provide investment advice and securities related services under the supervision of Morgan Stanley. Samuel has been in the financial industry since 2007 and has held previous positions at DOMINICK & DOMINICK LLC, MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC. Samuel is registered with FINRA and has a Series 7, Series 63, Series 65, and Series 66. Samuel has several specializations which include asset allocation advice, financial planning, and pension consulting.
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
NY
04/15/2020 - Present
Morgan Stanley (New York NY)
NY
02/22/2011 - 02/06/2013
DOMINICK & DOMINICK LLC (NEW YORK NY)
NY
06/01/2009 - 02/28/2011
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
12/07/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 05/24/2011
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Samuel Polk is the right advisor for you? Invested Better is here to help.
