Kenneth S. Polley

POLLEY WEALTH MANAGEMENT LLC

Orlando, FL 32801

Some features on this profile are disabled

CRD#: 2740157

Professional summary

Kenneth Sean Polley, who also goes by Sean Polley, is a registered financial advisor currently at POLLEY WEALTH MANAGEMENT LLC located in Orlando, Florida.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kenneth has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Polley

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.

NAME OF ENTITY: (SELF) POSITION: CO-OWNER / LANDLORD - RENTAL PROPERTY DETAILS: 1906 APOPKA, FL. START DATE 08/14/2015, 1 HOURS PER MONTH DEVOTED TO PROPERTY, 0 HOURS DURING SECURITIES TRADING, INVESTMENT RELATED. POLLEY PROPERTIES LLC POSITION: President NATURE: Real estate investing in wholesale and fix & flip properties. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: , Orlando FL , United States DESCRIPTION: Assist homeowners in pre-foreclosure or distressed property sales. I will be involved in purchasing the properties, overseeing rehabilitation and selling them to buyers. INSURANCE SALES; Investment Related; Orlando, FL; Licensed Insurance Agent; 2019; 40 hours/mo during trading hours; sales of various insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Sean 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®

None

Experience

Current

September 30, 2019 - Present

POLLEY WEALTH MANAGEMENT LLC

Office #1: 250 North Orange Ave Suite 1116, Orlando, FL 32801

RIA

CRD#: 305143

Orlando, FL

Past

May 9, 2017 - October 2, 2019

TRUIST ADVISORY SERVICES, INC.

CRD#: 5393

WESTLAKE, TX

Past

May 28, 1996 - March 3, 1997

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

Florida
(9/30/2019)

IAR

Texas
(2/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/16/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/14/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

POLLEY WEALTH MANAGEMENT LLC

CRD#: 305143 / SEC#:

Florida

Registered Investment Advisory firm - (9/30/2019 Approved)

Texas

Registered Investment Advisory firm - (2/24/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

250 North Orange Ave Suite 1116, Orlando, FL 32801

Mailing Address

250 North Orange Ave Suite 1116, Orlando, FL 32801

Phone number

(407) 337-1085

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	101
AUM (Assets Under Management)	$ 15,000,000

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.

Similar Advisors

Lawrence Kriesmer

MEASURED RISK PORTFOLIOS

IAR

San Diego, CA

Tyler Vasquez

THREE ARCH WEALTH MANAGEMENT LLC

IAR

IRVINE, CA

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth S. Polley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Sean Polley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

GLOBAL ASSET MANAGEMENT GROUP

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

HORNOR, TOWNSEND & KENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2003

Series 63

Date: 5/29/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/24/1996

Series 8

Date: 1/14/1999

Current Firm

POLLEY WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POLLEY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors