Polly J. Brooks
Professional summary
Polly Jane Brooks, who also goes by Polly Jane Milcoff, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.
Polly is registered as a RR (Registered Representative) and started their career in finance in 1999. Polly has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Polly Jane Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2022 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116April 4, 2022 - May 20, 2022
EMPOWER FINANCIAL SERVICES, INC.
July 1, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 10, 2017 - May 13, 2020
CETERA WEALTH SERVICES, LLC
June 28, 2005 - June 29, 2016
PRINCIPAL SECURITIES, INC.
June 6, 2005 - June 29, 2016
PRINCIPAL SECURITIES, INC.
February 9, 2004 - April 22, 2005
MMC SECURITIES LLC
August 28, 2003 - April 22, 2005
MMC SECURITIES LLC
October 21, 2002 - August 14, 2003
EMPOWER FINANCIAL SERVICES, INC.
October 29, 1999 - October 21, 2002
ONE ORCHARD EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2023)
(12/1/2023)
(6/8/2022)
(6/8/2022)
(12/1/2023)
(12/1/2023)
(12/2/2023)
(12/1/2023)
(12/1/2023)
Exams
FINRA
Current Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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Company Information
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249Boston, MA 02116TRUST BUT VERIFY
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