John C. Polk
Professional summary
John Collett Polk, CFA is a registered financial advisor currently at PORTAGE CAPITAL MANAGEMENT LLC located in El Segundo, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. John has worked at 3 firms and has passed the Series 65, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Collett Polk's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2020 - Present
PORTAGE CAPITAL MANAGEMENT LLC
Office #1: 2041 Rosecrans Ave Suite 350, El Segundo, CA 90245December 10, 2008 - February 10, 2009
SHORELINE TRADING GROUP LLC
October 27, 2006 - November 3, 2006
SHORELINE TRADING GROUP LLC
February 22, 1991 - November 1, 2004
WEDBUSH SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/28/2020)
Exams
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
PORTAGE CAPITAL MANAGEMENT LLC
CRD#: 299015 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 23,500,000 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 1/27/2020 |
Red Flags
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