Joseph C. Polito
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.
Joseph Charles Polito, who also goes by Joe Polito, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1969. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2010 - October 15, 2015
SPC
February 19, 2010 - October 15, 2015
PARKLAND SECURITIES, LLC
March 11, 1999 - February 23, 2010
SIGNATOR INVESTORS, INC.
September 15, 1971 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 23, 1969 - February 23, 2010
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Series 1
Date: 5/16/1969
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
