MP
Malcolm E. Polley
STRATOS INVESTMENT MANAGEMENT
Indiana, PA
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CRD#: 1875697
MP
Professional summary
Malcolm Emerson Polley, who also goes by Malcolm Emerson Polly, is a registered financial advisor currently at STRATOS INVESTMENT MANAGEMENT, LLC located in Indiana, Pennsylvania and STRATOS WEALTH ADVISORS LLC located in Indiana, Pennsylvania.
Malcolm is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Malcolm has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Malcolm Emerson Polly
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) A Lit Bit of Country, LLC: Non-investment-related, 3271 Rte 119 Hwy N, Homer City, PA 15748, Craft Shop, Co-owner, May of 2018, approximately between 20-30 hrs per week after 5 pm and on Saturday. 2) Foundation for YMCA of Indiana County; Investment-Related, 60 N Ben Franklin Rd, Indiana, PA 15701, Charitable Endowment, Chair of the Endowment Committee, October 2018, 4hrs during trading hours per a year. 3) YMCA of Indiana County: Non-investment-related, 60 N Ben Franklin Rd, Indiana, PA 15701, Community Non-Profit, Board Member, January 1st of 2019, 4-12 hours during trading hours per a year. 4) Stratos Investment Management, LLC. Inv related. Indiana, PA. Investment Advisory. Chief Market Strategist. Start Date 1/8/2024.120 hours per month/ 120 hours per month during securities trading hours. 5) Stratos Wealth Advisors, LLC. Inv Related. Indiana, PA. Registered Investment Advisor, Financial Advisor. Start Date 1/15/2024. 40 hours per month/30 hours per month during securities trading hours. Personal advisory production. 6) Barnwood Capital - Registered Investment Advisor DBA of Stratos Wealth Advisors, LLC. Inv Related. Indiana, PA. Investment Advisory and Financial Planning. Founder/Owner, Financial Advisor. Start Date 1/8/2024. Hours same as with Stratos Wealth Advisors, LLC. Personal advisory production. 7) Round Table Group. Not Investment Related. An expert witness finding service. Consultant as an expert witness on cases I feel qualified to opine on. Start Date 6/2/2024. 10 hours per month/ 0 hours per month during securities trading hours. 8) Silverlight Research. Not Investment Related. A UK Based firm providing consultancy services. Consultant. Start date: 5/17/2024. 4 Hours per month; 2 hours per month during securities trading hours. Outside consultant providing input on certain subjects/topics. 9) Eberly College of Business and Technology At Indiana University of Pennsylvania. Not Investment related. 664 Pratt Rd, Indiana, PA. Education/University. Adjunct Faculty. Start 8/26/2024. 16 hours per month/0 hours per month during securities trading hours. Finance and Economics faculty. 10) Outcome Private Wealth - Investment Related - Address: 3165 E Millrock Drive Suite 100 Holladay, UT 84121 - Nature of Business: Wealth Management - Position: Chief Investment Analyst - Start Date: 6/2/2025 - Number of hours per month/devoted during business hours: 40 - Business Description: Financial Planning and Wealth Management Services.
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Emerson Polley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 8, 2024 - Present
STRATOS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 283850
Indiana, PA
Current
January 8, 2024 - Present
STRATOS WEALTH ADVISORS LLC
RIA
CRD#: 283816
Indiana, PA
Past
January 6, 2014 - January 4, 2024
STEWART CAPITAL ADVISORS, LLC
RIA
CRD#: 134012
INDIANA, PA
Past
September 9, 1997 - September 30, 1999
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
Past
September 19, 1988 - December 15, 1990
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
STRATOS WEALTH ADVISORS LLC
A. CARMI FINANCIAL, INC. | YOUNG AMERICAN WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS, LLC | VERITAS BOSTON WEALTH MANAGEMENT | TRUE NORTH WEALTH PARTNERS | THE RETIREMENT CORPORATION OF AMERICA | THE LOWRIE WEALTH MANAGEMENT GROUP | TAMARACK TRAIL INVESTMENT PARTNERS | SYNERGY WEALTH MANAGEMENT | STRATOS WEALTH ADVISORS LLC | SPAIN & SMITH WEALTH ADVISORS | RIVERVIEW WEALTH PARTNERS | RIVERBEND WEALTH MANAGEMENT | RETIREMENT CORPORATION OF AMERICA | RENO TAHOE WEALTH MANAGEMENT | PURPOSEFUL WEALTH | PISTONE WEALTH ADVISORS | PIERCE WEALTH PARTNERS | PARK EDGE ADVISORS | PALATINE HILL, LLC | NILSEN FINANCIAL SERVICES, LLC | NEXTIER WEALTH MANAGEMENT | NEW VIEW WEALTH ADVISORY | MCCANN WEALTH MANAGEMENT | MAJIED FINANCIAL GROUP, LLC | KYROS WEALTH MANAGEMENT | KOWAL FINANCIAL ADVISORS | JF WEALTH MANAGEMENT, LLC | INVESSENT WEALTH MANAGEMENRT | INTERSECTING WEALTH, LLC | GIERL AUGUSTINE INVESTMENT MANAGEMENT | GENERATIONS INVESTMENT MANAGEMENT | GA INVESTMENT MANAGEMENT | FREITAS WEALTH MANAGEMENT GROUP | FLAGSHIP FINANCIAL ADVISORS | FELLER WEALTH MANAGEMENT | EMERITUS WEALTH MANAGEMENT | CLAPBOARD HILL PRIVATE WEALTH | CENTURY WEALTH PARTNERS | BARNWOOD CAPITAL | AUGUST WEALTH ADVISORS | ACMEJACKWEALTHMANAGEMENT
CRD#: 283816 / SEC#: 801-108211
RIA
Registered Investment Advisory firm - (8/15/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(1/8/2024)
IAR
Texas(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
STRATOS WEALTH ADVISORS LLC
A. CARMI FINANCIAL, INC. | YOUNG AMERICAN WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS, LLC | VERITAS BOSTON WEALTH MANAGEMENT | TRUE NORTH WEALTH PARTNERS | THE RETIREMENT CORPORATION OF AMERICA | THE LOWRIE WEALTH MANAGEMENT GROUP | TAMARACK TRAIL INVESTMENT PARTNERS | SYNERGY WEALTH MANAGEMENT | STRATOS WEALTH ADVISORS LLC | SPAIN & SMITH WEALTH ADVISORS | RIVERVIEW WEALTH PARTNERS | RIVERBEND WEALTH MANAGEMENT | RETIREMENT CORPORATION OF AMERICA | RENO TAHOE WEALTH MANAGEMENT | PURPOSEFUL WEALTH | PISTONE WEALTH ADVISORS | PIERCE WEALTH PARTNERS | PARK EDGE ADVISORS | PALATINE HILL, LLC | NILSEN FINANCIAL SERVICES, LLC | NEXTIER WEALTH MANAGEMENT | NEW VIEW WEALTH ADVISORY | MCCANN WEALTH MANAGEMENT | MAJIED FINANCIAL GROUP, LLC | KYROS WEALTH MANAGEMENT | KOWAL FINANCIAL ADVISORS | JF WEALTH MANAGEMENT, LLC | INVESSENT WEALTH MANAGEMENRT | INTERSECTING WEALTH, LLC | GIERL AUGUSTINE INVESTMENT MANAGEMENT | GENERATIONS INVESTMENT MANAGEMENT | GA INVESTMENT MANAGEMENT | FREITAS WEALTH MANAGEMENT GROUP | FLAGSHIP FINANCIAL ADVISORS | FELLER WEALTH MANAGEMENT | EMERITUS WEALTH MANAGEMENT | CLAPBOARD HILL PRIVATE WEALTH | CENTURY WEALTH PARTNERS | BARNWOOD CAPITAL | AUGUST WEALTH ADVISORS | ACMEJACKWEALTHMANAGEMENT
CRD#: 283816 / SEC#: 801-108211
RIA
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Contact information
Main Address
3750 Park East Drive Suite 200, Beachwood, OH 44122
Mailing Address
Phone number
(440) 519-2500
Established
Firm type
Fiscal year end
# of Employees
181
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,432 |
| AUM (Assets Under Management) | $ 4,905,828,030 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
