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RIA / WealthAdvisor30 years in industry

KENNETH SEAN POLLEY

Advisor at POLLEY WEALTH MANAGEMENT LLC

ORLANDO, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: POLLEY WEALTH MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: May 29, 1996
First registration: Apr 2, 2004
Dual registered: no
Other names: SEAN POLLEY|KENNETH SEAN POLLEY
IAPD individual key: 2740157

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
POLLEY WEALTH MANAGEMENT LLC	State registered	Sep 30, 2019	n/a	yes	ORLANDO, FL	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	May 9, 2017	Oct 2, 2019	no	KISSIMMEE, FL\|Orlando, FL\|KISSIMMEE, FL\|CELEBRATION, FL\|CELEBRATION, FL\|WINTER PARK, FL\|ORLANDO, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 13, 2013	Apr 26, 2017	no	ORLANDO, FL\|WINTER PARK, FL\|ORLANDO, FL\|WINTER PARK, FL\|ORLANDO, FL\|ORLANDO, FL\|WINTER PARK, FL\|ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 25, 2011	Jul 23, 2013	no	ALTAMONTE SPRINGS, FL	Previous registration
GLOBAL ASSET MANAGEMENT GROUP	n/a	Jun 8, 2010	Jun 28, 2011	no	WINTER SPRINGS, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 15, 2006	Mar 22, 2010	no	New York City, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 2, 2004	Dec 8, 2005	no	San Diego, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRUIST ADVISORY SERVICES, INC.	POLLEY WEALTH MANAGEMENT LLC	Oct 2, 2019	Sep 30, 2019	-2	Firm change	Ibd to state RIA
J.P. MORGAN SECURITIES LLC	TRUIST ADVISORY SERVICES, INC.	Apr 26, 2017	May 9, 2017	13	Firm change	Other
STRATEGIC ADVISERS LLC	J.P. MORGAN SECURITIES LLC	Jul 23, 2013	Aug 13, 2013	21	Firm change	Ibd to wirehouse
GLOBAL ASSET MANAGEMENT GROUP	STRATEGIC ADVISERS LLC	Jun 28, 2011	Aug 25, 2011	58	Firm change	Other
CHARLES SCHWAB & CO., INC.	GLOBAL ASSET MANAGEMENT GROUP	Mar 22, 2010	Jun 8, 2010	78	Firm change	Other
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Dec 8, 2005	Sep 15, 2006	281	Firm change	Other

Relationships

Registered with (7)

→ POLLEY WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Sep 30, 2019 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 9, 2017 to Oct 2, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 13, 2013 to Apr 26, 2017factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 25, 2011 to Jul 23, 2013factForm ADV
→ GLOBAL ASSET MANAGEMENT GROUPRegistered adviserregistration: previous registration
Jun 8, 2010 to Jun 28, 2011factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 15, 2006 to Mar 22, 2010factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 2, 2004 to Dec 8, 2005factForm ADV

Dated events

No dated event names this entity yet.