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James Poliner

Janney Montgomery Scott LLC

Glastonbury, CT

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-08-31
TX RA APPROVED 2017-08-31
  • CT RA
    APPROVED
    Since 2017-08-31
  • TX RA
    APPROVED
    Since 2017-08-31

Branch Locations

95 Glastonbury Boulevard Suite 404, Glastonbury, CT 06033 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hartford CT 08/2012 08/2017
Bank Of America, N.A. Hartford CT 11/2012 08/2017
Janney Montgomery Scott Llc Glastonbury CT 08/2017 11/2022
Janney Montgomery Scott Llc Glastonbury CT 11/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-20
S63 Uniform Securities Agent State Law Examination 1996-12-10
  • S65 Uniform Investment Adviser Law Examination
    1997-01-20
  • S63 Uniform Securities Agent State Law Examination
    1996-12-10
Other Names
  • Jim Poliner
  • James Matthew Poliner

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · GLASTONBURY, CT
INTEGRATED WEALTH CONCEPTS LLC · GLASTONBURY, CT
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