Frank Poli

CRD 3230150 · J.P. Morgan Securities LLC · Jersey City, NJ

IA RegisteredBroker

Also appears in the source record as: Frank Lawrence Poli Jr; Frank Lawrence Poli

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (41): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (12)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Jersey City, NJ · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Jersey City, NJ · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Paramus, NJ · IA capacity

Jun 3, 2016 → Oct 19, 2017
Ubs Financial Services Inc.
Paramus, NJ · BC capacity

Jun 2, 2016 → Oct 19, 2017
Financial Northeastern Securities, Inc.
Fairfield, NJ · IA capacity

Jul 16, 2013 → May 17, 2016
Financial Northeastern Securities, Inc.
Fairfield, NJ · BC capacity

Jul 1, 2013 → May 17, 2016
T. Rowe Price Advisory Services, Inc.
Paramus, NJ · IA capacity

Jun 6, 2008 → Jan 31, 2011
T. Rowe Price Investment Services, Inc.
Paramus, NJ · BC capacity

Apr 3, 2008 → Jan 31, 2011
Axa Advisors, LLC
Woodbridge, NJ · IA capacity

Apr 24, 2006 → Oct 12, 2007
Axa Advisors, LLC
Woodbridge, NJ · BC capacity

Apr 21, 2006 → Oct 12, 2007
Pershing LLC
Jersey City, NJ · BC capacity

Jan 5, 2000 → Jun 22, 2004
Ryan, Beck & Co.
Florham Park, NJ · BC capacity

Jul 14, 1999 → Dec 6, 1999

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3230150 ↗ FINRA BrokerCheck record for CRD 3230150 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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