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Information

Firm:
Type: Dual Registration
Description

John Poling is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. John has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

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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.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 years, 6 months 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
University of Tennessee 8 years Aug 1996 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/21/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/21/2013
08/03/2013
*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.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 10/25/2006
General Securities Representative Examination Series 7 10/12/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

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