DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kenneth Sean Polley
Feed of 09/14/2026
Also filed as Sean Polley
At current firm
6 y
since Sep 30, 2019
In the industry
30 y
since May 29, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Polley Wealth Management LLC state registered currentsince Sep 30, 2019 · Orlando, Fl
- Truist Advisory Services, Inc. BD affiliatedMay 9, 2017 to Oct 2, 2019 · Kissimmee, Fl
- J.P. Morgan Securities LLC wirehouseAug 13, 2013 to Apr 26, 2017 · Orlando, Fl
- Strategic Advisers LLC national BDAug 25, 2011 to Jul 23, 2013 · Altamonte Springs, Fl
- Global Asset Management Group unclassifiedJun 8, 2010 to Jun 28, 2011 · Winter Springs, Fl
- Charles Schwab & Co., Inc. national BDSep 15, 2006 to Mar 22, 2010 · New York City, Ny
- Td Ameritrade, Inc. formerApr 2, 2004 to Dec 8, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Truist Advisory Services, Inc. to Polley Wealth Management LLCleft Oct 2, 2019, registered Sep 30, 2019 (-2 days) · Affiliated broker-dealer or bank to a state-registered adviser
- J.P. Morgan Securities LLC to Truist Advisory Services, Inc.left Apr 26, 2017, registered May 9, 2017 (13 days) · Other
- Strategic Advisers LLC to J.P. Morgan Securities LLCleft Jul 23, 2013, registered Aug 13, 2013 (21 days) · Affiliated broker-dealer or bank to wirehouse
- Global Asset Management Group to Strategic Advisers LLCleft Jun 28, 2011, registered Aug 25, 2011 (58 days) · Other
- Charles Schwab & Co., Inc. to Global Asset Management Groupleft Mar 22, 2010, registered Jun 8, 2010 (78 days) · Other
- Td Ameritrade, Inc. to Charles Schwab & Co., Inc.left Dec 8, 2005, registered Sep 15, 2006 (281 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address