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John Patrick Poling

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Information

Firm:
Type: Dual Registration
Description

John Poling is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 32,300 registered representatives nationwide. John has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 5 years, 1 month Oct 2009 - Present
Banc of America Insurance Services, Inc. 3 years, 1 month Sep 2006 - Oct 2009
Banc of America Investment Services, Inc. 3 years, 2 months Aug 2006 - Oct 2009
Nissan North America 1 year, 9 months Nov 2004 - Aug 2006
Riverside Tavern 1 year, 3 months Aug 2003 - Nov 2004
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 10/25/2006
General Securities Representative ExaminationSeries 7 10/12/2006

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

John Patrick Poling has not answered any questions on Financial Q&A.

Top Guides

John Patrick Poling has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/10/2014
08/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions