Moises Polanco
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.
Moises Polanco was a registered financial professional .
Moises is a previously registered financial professional and started their career in finance in 2020. Moises had worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2025 - August 14, 2025
WISE US ASSETS INC
July 31, 2020 - September 25, 2021
J.P. MORGAN SECURITIES LLC
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 99TO
Date: 4/2/2025
Operations Professional ExaminationSeries 7TO
Date: 1/22/2024
General Securities Representative ExaminationCurrent Firm
WISE US ASSETS INC
CRD#: 329919 / SEC#: , 8-71239
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
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.
