Brownie Polly, financial advisor Roanoke VA
86 score

Brownie Polly

CRD Number: 3018081
Current Firm: Wells Fargo Advisors, LLC

Brownie Polly (CRD# 3018081) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Roanoke, VA and has over 13 years of experience in the finance industry. Brownie Polly has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Advisors LLC Roanoke, VA Sep 2010 - Current 6
Wood & White Investment Advisors, LLC Lynchburg, VA Aug 2009 - Sep 2010 1
Unemployed Roanoke, VA Apr 2009 - Aug 2009 < 1
Banc Of America Investment Services, Inc. Roanoke, VA Sep 2002 - Mar 2009 6
Bank Of America, N.a. Roanoke, VA May 1982 - Mar 2009 26
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Brownie E. Polly
Phone Number: 314-875-3000
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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