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RIA / WealthAdvisor32 years in industry

Heather Polly Johnson

Advisor at CIBC PRIVATE WEALTH ADVISORS, INC.

CHICAGO, IL

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Search this name across graphsid dfx:ria:e973e228-a17a-9b8e-17be-06a56213f340

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2007 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: CIBC PRIVATE WEALTH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Jun 15, 1994
First registration: Jan 26, 2007
Dual registered: no
Other names: HEATHER POLLY|HEATHER JEAN POLLY|HEATHER POLLY JOHNSON|HEATHER JEAN JOHNSON|Heather Polly-Johnson
IAPD individual key: 2303792

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
CIBC PRIVATE WEALTH ADVISORS, INC.	Bd affiliated wealth	Sep 23, 2022	n/a	yes	CHICAGO, IL	Current employment
AUSDAL FINANCIAL PARTNERS, INC.	Independent wealth	Sep 15, 2021	Jul 29, 2022	no	DAVENPORT, IA\|DOWNERS GROVE, IL	Previous registration
GLOBAL PORTFOLIO STRATEGIES, INC.	Former SEC adviser	Jul 26, 2007	Nov 18, 2008	no	HARTFORD, CT	Previous registration
EDWARD JONES	National bd RIA	Jan 26, 2007	May 31, 2007	no	ELIZABETH, IL\|DUBUQUE, IA	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
AUSDAL FINANCIAL PARTNERS, INC.	CIBC PRIVATE WEALTH ADVISORS, INC.	Jul 29, 2022	Sep 23, 2022	56	Firm change	RIA to ibd
GLOBAL PORTFOLIO STRATEGIES, INC.	AUSDAL FINANCIAL PARTNERS, INC.	Nov 18, 2008	Sep 15, 2021	4,684	Firm change after gap	Other
EDWARD JONES	GLOBAL PORTFOLIO STRATEGIES, INC.	May 31, 2007	Jul 26, 2007	56	Firm change	Other

Relationships

Registered with (4)

→ CIBC PRIVATE WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Sep 23, 2022 to presentfactForm ADV
→ AUSDAL FINANCIAL PARTNERS, INC.Registered adviserregistration: previous registration
Sep 15, 2021 to Jul 29, 2022factForm ADV
→ GLOBAL PORTFOLIO STRATEGIES, INC.Registered adviserregistration: previous registration
Jul 26, 2007 to Nov 18, 2008factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 26, 2007 to May 31, 2007factForm ADV

Dated events

Occurred
Jul 29, 2022
Advisor changed firm
Heather Polly Johnson left Ausdal Financial Partners, Inc. for Cibc Private Wealth Advisors, Inc. (registered 2022-09-23)
Form ADVobserved 6 days ago