JP
Joseph D. Polsinelli
NOTTINGHAM WEALTH PARTNERS
Latham, NY 12110
Some features on this profile are disabled
CRD#: 2098985
JP
Professional summary
Joseph Delio Polsinelli, who also goes by Joseph D Polsinelli, is a registered financial advisor currently at NOTTINGHAM WEALTH PARTNERS, INC. located in Latham, New York and LPL FINANCIAL LLC located in Latham, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph D Polsinelli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 09/05/2023 - Community Bank / Empire State Asset Management / Outside/W-2 Employment / Not Investment Related / Owner / Niskayuna, NY / Start date 08/31/2023 - 40Hrs/Mth - 8 Hrs During Trading. 2) 09/05/2023 - Community Bank / Empire State Asset Management, LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start Date:12/01/2019 - 0Hrs/Mth - 0 Hrs During Trading. 3) 12/12/2023 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/01/2023 - 10 Hours Per Month/ 2 Hours During Trading 4) 01/10/2024 - OneGroup Wealth Partners - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 9/1/2023 - 30 hrs/Mo; 4 hrs During Trading - I provide investment advisory services through OneGroup Wealth Partners, an independent investment advisor firm. I started this business activity in 09/2023. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 08/14/2025 - Nottingham Wealth Partners - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:05/05/2025 - 150 Hrs/Mth - 35 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Delio Polsinelli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2023 - Present
NOTTINGHAM WEALTH PARTNERS, INC.
Office #1: 782 Troy Schenectady Rd., Latham, NY 12110RIA
CRD#: 306971
Latham, NY
Current
September 5, 2023 - Present
LPL FINANCIAL LLC
Office #1: 782 Troy-schenectady Rd, Latham, NY 12110Office #3: 4782 State Hwy 30, Amsterdam, NY 12010RIA
BD
CRD#: 6413
Latham, NY
Past
May 21, 2021 - September 5, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NISKAYUNA, NY
Past
May 21, 2018 - May 21, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NISKAYUNA, NY
Past
May 18, 2018 - September 5, 2023
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NISKAYUNA, NY
Past
February 16, 2018 - June 8, 2018
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
CLIFTON PARK, NY
Past
February 15, 2018 - May 29, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
CLIFTON PARK, NY
Past
November 12, 2014 - February 15, 2018
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CLIFTON PARK, NY
Past
October 3, 2011 - November 13, 2014
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
NISKAYUNA, NY
Past
January 3, 2005 - September 30, 2011
GWN SECURITIES INC.
BD
CRD#: 128929
NISKAYUNA, NY
Past
February 20, 2001 - December 31, 2003
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
May 14, 1999 - June 28, 1999
KEY CLEARING CORP.
BD
CRD#: 37595
BROOKLYN, OH
Past
January 19, 1999 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
August 19, 1997 - December 23, 1998
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 14, 1997 - September 2, 1997
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
February 16, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 16, 1995 - May 23, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 13, 1992 - May 2, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 13, 1992 - May 2, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NW
NOTTINGHAM WEALTH PARTNERS, INC.
COMMUNITY BANK, N.A. | ONEGROUP WEALTH PARTNERS, INC. | ONEGROUP WEALTH INVESTMENT SERVICES, INC | NOTTINGHAM WEALTH PARTNERS, INC. | NOTTINGHAM FINANCIAL GROUP | EMPIRE STATE ASSET MANAGEMENT
CRD#: 306971 / SEC#: 801-120561
RIA
Registered Investment Advisory firm - (3/22/2021 Approved)Florida
Registered Investment Advisory firm - (3/31/2021 Terminated)New York
Registered Investment Advisory firm - (3/31/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/19/2023)
RR
California(9/19/2023)
RR
Connecticut(9/19/2023)
RR
District of Columbia(9/19/2023)
RR
Florida(9/5/2023)
IAR
Florida(10/26/2023)
RR
Georgia(9/19/2023)
RR
Louisiana(9/19/2023)
RR
Maine(9/19/2023)
RR
Massachusetts(9/19/2023)
RR
Michigan(9/19/2023)
RR
New Hampshire(9/19/2023)
RR
New York(9/5/2023)
IAR
New York(9/5/2023)
RR
North Carolina(9/19/2023)
RR
Ohio(9/19/2023)
RR
Oregon(9/19/2023)
RR
Pennsylvania(9/19/2023)
RR
Rhode Island(11/6/2024)
RR
South Carolina(9/19/2023)
IAR
Texas(10/10/2023)
RR
Texas(1/9/2024)
RR
Vermont(9/19/2023)
RR
Virgin Islands(7/24/2024)
RR
Virginia(1/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NOTTINGHAM WEALTH PARTNERS, INC.
COMMUNITY BANK, N.A. | ONEGROUP WEALTH PARTNERS, INC. | ONEGROUP WEALTH INVESTMENT SERVICES, INC | NOTTINGHAM WEALTH PARTNERS, INC. | NOTTINGHAM FINANCIAL GROUP | EMPIRE STATE ASSET MANAGEMENT
CRD#: 306971 / SEC#: 801-120561
RIA
Registered Investment Advisory firm - (3/22/2021 Approved)Florida
Registered Investment Advisory firm - (3/31/2021 Terminated)New York
Registered Investment Advisory firm - (3/31/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5790 Widewaters Parkway, Syracuse, NY 13214
Mailing Address
Phone number
(561) 472-2312
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 273 |
| AUM (Assets Under Management) | $ 65,615,691 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
