Malcolm Polley is a CFA-designated registered investment advisor at Stratos Wealth Advisors LLC, based in Indiana, PA, with 12 years of industry experience. Malcolm operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Insurance Planning, and 2 more. Their firm serves 4,979 clients with $4.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stratos Wealth Advisors (SWA) offers investment management through advisor-managed accounts. You'll pay a management fee, plus transaction charges for each trade. There may be some investments, like certain mutual funds, where you won't pay transaction fees. The maximum annual advisory fee is 2.0% of your portfolio. In some cases, SWA may apply a flat fee to provide asset management services, but the maximum flat fee will be no more than 2.0% of the assets under management. A minimum account value of $10,000 is required for advisor-managed, non-wrap accounts; however, in certain instances, the minimum account size may be lower.
Location
Indiana, PA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Malcolm co-owns a craft shop, is involved with the YMCA, and serves as Chief Market Strategist for Stratos Investment Management, LLC. He also works as a financial advisor for Stratos Wealth Advisors, LLC and Barnwood Capital, consults for Round Table Group and Silverlight Research, and is adjunct faculty at Indiana University of Pennsylvania.
Employment History
Current Registrations
Stratos Wealth Advisors LLC
Stratos Investment Management, LLC
Previous Registrations
Stewart Capital Advisors, LLC
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.