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John Anthony Polyviou

Investment Adviser Representative at IP FINANCIAL ADVISORY SERVICES LLC

Charlotte, NCCRD #2030212Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
1 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

John Anthony Polyviou has worked in the securities industry since 1991. They have passed the Series 99, 65, 63, 52, 24, and 7 examinations. They are registered to provide investment advisory services in North Carolina.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
North Carolina
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/18/2014
Series 63
Uniform Securities Agent State Law Examination
Passed 5/8/1990
Series 52
Municipal Securities Representative Examination
Passed 7/9/2025
Series 99
Operations Professional Examination
Passed 4/1/2025
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/21/1990
Series 24
General Securities Principal Examination
Passed 9/3/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Less than $10,0001.25%
$25,000 to $100,0001.00%
$100,000 to $250,0000.75%
Greater than $250,0000.50%
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

IP Financial Advisory Services LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

IP FINANCIAL ADVISORY SERVICES LLCCurrent
9/13/2024Charlotte, NC
LINDEN THOMAS ADVISORY SERVICES, LLC
6/10/20211/29/2024Charlotte, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
7/21/20146/7/2021Charlotte, NC

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Anthony Polyviou has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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John Anthony Polyviou - Financial Advisor in Charlotte, NC | AdvisorFinder