DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Frank Poli

Advisor at J.P. MORGAN SECURITIES LLC

Princeton, NJ | JERSEY CITY, NJ | SECAUCUS, NJ | LYNDHURST, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6de8b1ce-dec9-075b-2e8d-82bcdafe633c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 24, 2006 to Sep 15, 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: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 17, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 17, 1999
First registration: Apr 24, 2006
Dual registered: yes, broker-dealer
Other names: FRANK LAWRENCE POLI|FRANK LAWRENCE POLI
IAPD individual key: 3230150

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 11, 2017	n/a	yes	SECAUCUS, NJ\|LYNDHURST, NJ\|JERSEY CITY, NJ\|Princeton, NJ	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 3, 2016	Oct 19, 2017	no	PARAMUS, NJ	Previous registration
FINANCIAL NORTHEASTERN SECURITIES, LLC	n/a	Jul 16, 2013	May 17, 2016	no	FAIRFIELD, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 26, 2011	Jul 1, 2013	no	NEW YORK, NY\|PARAMUS, NJ	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Jun 6, 2008	Jan 31, 2011	no	SHORT HILLS, NJ\|PARAMUS, NJ	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Apr 24, 2006	Oct 12, 2007	no	WOODBRIDGE, NJ	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
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Oct 19, 2017	Oct 11, 2017	-8	Firm change	Wirehouse to wirehouse
FINANCIAL NORTHEASTERN SECURITIES, LLC	UBS FINANCIAL SERVICES INC.	May 17, 2016	Jun 3, 2016	17	Firm change	Other
UBS FINANCIAL SERVICES INC.	FINANCIAL NORTHEASTERN SECURITIES, LLC	Jul 1, 2013	Jul 16, 2013	15	Firm change	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	UBS FINANCIAL SERVICES INC.	Jan 31, 2011	Oct 26, 2011	268	Firm change	Other
EQUITABLE ADVISORS, LLC	T. ROWE PRICE ADVISORY SERVICES, INC.	Oct 12, 2007	Jun 6, 2008	238	Firm change	Ibd to new firm

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 11, 2017 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 3, 2016 to Oct 19, 2017factForm ADV
→ FINANCIAL NORTHEASTERN SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 16, 2013 to May 17, 2016factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 6, 2008 to Jan 31, 2011factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 24, 2006 to Oct 12, 2007factForm ADV

Dated events

No dated event names this entity yet.