Delphia Polle

INGALLS & SNYDER

NEW YORK, NY 10020

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CRD#: 6170028

Professional summary

Delphia Polle is a registered financial advisor currently at INGALLS & SNYDER, LLC located in New York, New York.

Delphia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Delphia has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Delphia Polle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Delphia Polle's CRS (Customer Relationship Summary).

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

June 20, 2024 - Present

INGALLS & SNYDER, LLC

Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020Office #2: 1 Rockefeller Plaza 7th Floor, New York, NY 10020

RIA

CRD#: 2288

NEW YORK, NY

Current

June 20, 2024 - Present

INGALLS & SNYDER, LLC

Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020Office #2: 1 Rockefeller Plaza 7th Floor, New York, NY 10020

RIA

CRD#: 2288

NEW YORK, NY

Past

May 11, 2023 - May 13, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 11, 2023 - May 13, 2024

CRD#: 47069

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/20/2024)

IAR

Alabama
(6/20/2024)

Alaska
(6/20/2024)

Arizona
(6/20/2024)

IAR

Arizona
(7/2/2024)

Arkansas
(6/20/2024)

IAR

Arkansas
(6/27/2024)

California
(6/20/2024)

IAR

California
(6/21/2024)

Colorado
(6/20/2024)

IAR

Colorado
(6/26/2024)

Connecticut
(6/20/2024)

IAR

Connecticut
(6/21/2024)

Delaware
(6/20/2024)

IAR

Delaware
(6/25/2024)

District of Columbia
(6/20/2024)

Florida
(6/20/2024)

IAR

Florida
(6/21/2024)

Georgia
(6/20/2024)

IAR

Georgia
(6/21/2024)

Hawaii
(6/20/2024)

Idaho
(6/20/2024)

IAR

Idaho
(6/24/2024)

Illinois
(6/20/2024)

IAR

Illinois
(7/1/2024)

Indiana
(6/20/2024)

IAR

Indiana
(6/24/2024)

Iowa
(6/20/2024)

IAR

Iowa
(6/24/2024)

Kansas
(6/20/2024)

IAR

Kansas
(6/21/2024)

Kentucky
(6/20/2024)

IAR

Kentucky
(7/2/2024)

Louisiana
(6/20/2024)

IAR

Louisiana
(6/26/2024)

Maine
(6/20/2024)

IAR

Maine
(6/21/2024)

Maryland
(6/20/2024)

IAR

Maryland
(6/21/2024)

Massachusetts
(6/20/2024)

IAR

Massachusetts
(11/25/2024)

Michigan
(6/20/2024)

IAR

Michigan
(6/25/2024)

Minnesota
(6/20/2024)

IAR

Minnesota
(6/24/2024)

Mississippi
(6/20/2024)

IAR

Mississippi
(6/27/2024)

Missouri
(6/20/2024)

IAR

Missouri
(6/24/2024)

Montana
(6/20/2024)

IAR

Montana
(6/26/2024)

Nebraska
(6/20/2024)

Nevada
(6/20/2024)

IAR

Nevada
(6/24/2024)

New Hampshire
(6/20/2024)

IAR

New Hampshire
(6/25/2024)

New Jersey
(6/20/2024)

IAR

New Jersey
(6/24/2024)

New Mexico
(6/20/2024)

IAR

New Mexico
(6/25/2024)

New York
(6/20/2024)

IAR

New York
(6/20/2024)

North Carolina
(6/20/2024)

IAR

North Carolina
(7/10/2024)

North Dakota
(6/20/2024)

IAR

North Dakota
(6/24/2024)

Ohio
(6/21/2024)

IAR

Ohio
(6/21/2024)

Oklahoma
(6/20/2024)

IAR

Oklahoma
(6/26/2024)

Oregon
(6/20/2024)

IAR

Oregon
(6/24/2024)

Pennsylvania
(6/20/2024)

IAR

Pennsylvania
(6/21/2024)

Puerto Rico
(6/20/2024)

Rhode Island
(6/20/2024)

IAR

Rhode Island
(6/24/2024)

South Carolina
(6/20/2024)

IAR

South Carolina
(6/26/2024)

South Dakota
(6/20/2024)

IAR

South Dakota
(6/24/2024)

Tennessee
(6/20/2024)

Texas
(6/20/2024)

IAR

Texas
(6/20/2024)

Utah
(6/20/2024)

IAR

Utah
(6/21/2024)

Vermont
(6/20/2024)

IAR

Vermont
(6/21/2024)

Virginia
(6/20/2024)

IAR

Virginia
(6/26/2024)

Washington
(6/20/2024)

IAR

Washington
(6/24/2024)

West Virginia
(6/20/2024)

IAR

West Virginia
(6/27/2024)

Wisconsin
(6/20/2024)

IAR

Wisconsin
(6/25/2024)

Wyoming
(6/20/2024)

IAR

Wyoming
(6/21/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

FINRA

Current Firm

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Mailing Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Phone number

(212) 269-7800

Established

New York since 01/02/1996

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INGS_BROCHURE_05152025 (5/16/2025)

Direct owners and executive officers

Name	Position	CRD#
I&S GROUP, LLC	PARENT HOLDING COMPANY
BOUCHER, THOMAS ONEIL JR	MANAGING DIRECTOR	730430
CASE, ROBERT ANTHONY	CHIEF EXECUTIVE OFFICER	1367765
CASE, ROBERT ANTHONY	SENIOR MANAGING DIRECTOR	1367765
DOUGHERTY, JOHN JOSEPH	MANAGING DIRECTOR	1960029
GARRISON, APHRODITE MAVRICOS	MANAGING DIRECTOR	1763811
GRISANTI, ADAM F	EXECUTIVE DIRECTOR	4413657
GRISANTI, ADAM F	CHIEF OPERATIONS OFFICER	4413657
GRISANTI, ADAM F	CHIEF FINANCIAL OFFICER	4413657
JANOVIC, ADAM DAVID	MANAGING DIRECTOR	1521203
LANE-ZUCKER, KEITH SIMON	MANAGING DIRECTOR	4050531
MCLEAN, ALICE BARZUN	MANAGING DIRECTOR	4477581
MEEHAN, SEAN PATRICK	MANAGING DIRECTOR	5033839
PARK, CHRISTIAN CHIHONG	EXECUTIVE DIRECTOR	3106787
PARK, CHRISTIAN CHIHONG	CHIEF COMPLIANCE OFFICER	3106787
RIEGEL, GUY RICHARDS	MANAGING DIRECTOR	1050269
THATCHER, JAMES EDWIN	MANAGING DIRECTOR	5872101
WESTON, CHRISTINE ELIZABETH	MANAGING DIRECTOR	1136404

Regulatory assets under management

Total Number of Accounts	4,189
AUM (Assets Under Management)	$ 6,897,915,721

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/22/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Delphia Polle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Delphia Polle's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Delphia Polle's CRS (Customer Relationship Summary).

Certified licenses

Experience

INGALLS & SNYDER, LLC

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

TRANSATLANTIQUE PRIVATE WEALTH LLC

TRANSATLANTIQUE PRIVATE WEALTH LLC

CIC MARKET SOLUTIONS, INC.

Primary Firm SEC Registration

INGALLS & SNYDER, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/2023

Series 65

Date: 4/8/2014

Series 7TO

Date: 5/11/2023

Series 31

Date: 8/30/2022

SIE

Date: 8/8/2022

Series 7

Date: 7/8/2013

FINRA

Current Firm

INGALLS & SNYDER, LLC

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

INGALLS & SNYDER, LLC

TRUST BUT VERIFY

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