Polly J. Brooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Polly Jane Brooks, who also goes by Polly Jane Milcoff, was a registered financial professional .
Polly is a previously registered financial professional and started their career in finance in 1999. Polly had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2022 - May 19, 2026
JOHN HANCOCK DISTRIBUTORS LLC
April 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
Exams
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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