David M. Polen
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.
David Martin Polen, who also goes by David M Polen, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1970. David had worked at 8 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1991 - July 12, 2012
POLEN CAPITAL MANAGEMENT, LLC
November 4, 1985 - July 14, 1986
BALFOUR INVESTORS INC.
July 31, 1979 - September 30, 2010
DAVID M POLEN SECURITIES, LLC
June 1, 1973 - June 26, 1980
GARY GOLDBERG & CO., INC.
March 1, 1972 - May 18, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
November 12, 1971 - March 9, 1972
S.J. SALMON & CO., INC.
April 16, 1971 - December 4, 1971
CIBC WORLD MARKETS CORP.
June 10, 1970 - May 9, 1971
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
POLEN CAPITAL MANAGEMENT, LLC
CRD#: 106093 / SEC#: 801-15180
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: 11/6/1967
Registered Representative ExaminationF04
Date: 3/29/1973
Financial Principal ExaminationSeries 00
Date: 3/26/1973
General Securities Principal ExaminationCurrent Firm
POLEN CAPITAL MANAGEMENT, LLC
CRD#: 106093 / SEC#: 801-15180
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,732 |
| AUM (Assets Under Management) | $ 37,703,918,773 |
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.
