Christopher P. Cappello

NEW ENGLAND RETIREMENT CONSULTANTS

BOSTON, MA 02109

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CRD#: 2145940

Professional summary

Christopher Paul Cappello, AIF® is a registered financial advisor currently at NEW ENGLAND RETIREMENT CONSULTANTS, LLC located in Boston, Massachusetts.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Christopher has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Ridge Retirement Consultants, LLC is a financial advisory firm headquartered in New York, NY 108 West 39th Street, Suite 305, New York, NY 10018 Retirement Plan advisory and consulting. I am a contractor. I conduct RFP's for the firm on a part time basis, beginning in 2022. I work approximately 5-10 hours/month in this capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Cappello'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 23, 2016 - Present

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

Office #1: 75 State Street Suite 100, Pmb 4410, Boston, MA 02109

RIA

CRD#: 141573

BOSTON, MA

Past

October 2, 2003 - June 10, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 22, 1995 - November 1, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 12, 1991 - April 18, 1994

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

CRD#: 141573 / SEC#: 801-73080

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Massachusetts

Registered Investment Advisory firm - (12/7/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(9/23/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/22/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

CRD#: 141573 / SEC#: 801-73080

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Massachusetts

Registered Investment Advisory firm - (12/7/2012 Terminated)

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Contact information

Main Address

75 State Street Suite 100, Pmb 4410, Boston, MA 02109

Mailing Address

Phone number

(617) 535-6946

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 1,935,869,183

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.

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Christopher P. Cappello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Cappello's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2014

Series 63

Date: 9/29/2003

Series 6

Date: 9/22/2003

Current Firm

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW ENGLAND RETIREMENT CONSULTANTS, LLC

TRUST BUT VERIFY

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