Richard L. Polo

RETIREMENT WEALTH MANAGEMENT

Nutley, NJ 07110

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CRD#: 2251829

Professional summary

Richard Louis Polo SR, who also goes by Richard Louis Sr Polo, Rick Polo Sr, is a registered financial advisor currently at RETIREMENT WEALTH MANAGEMENT, LLC located in Nutley, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Richard has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Louis Sr Polo | Rick Polo Sr

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)POLO FINANCIAL - DBA; INV REL; NUTLEY, NJ 07110 PUBLIC ACCTG/TAX/CONSULT PRACTICE TOTLE:OWNER/MEMBER STARTED 12/15/00 DUTIES: UPDATING TAX CLIENT'S BOOK & REWARDS, PERSONAL & CORPORATE TAX RETURNS,CONSULTI & MGMT ADVICE WORK 60 HRS/WK THIS BUS. IS A SINGLE MEMBER LLC; 2) BENEFIT SOLUTIONS, NOT INVESTMENT RELATED, RECEIVES REFERRAL COMMISSIONS ON HEALTH INSURANCE, SINCE 01/04

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Louis Polo SR'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®

None

Experience

Current

December 1, 2020 - Present

RETIREMENT WEALTH MANAGEMENT, LLC

Office #1: 80 East Passaic Avenue, Nutley, NJ 07110

RIA

CRD#: 310386

Nutley, NJ

Past

October 24, 2005 - November 12, 2020

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NUTLEY, NJ

Past

October 24, 2005 - November 12, 2020

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NUTLEY, NJ

Past

January 22, 2003 - October 24, 2005

C.J.M. ASSET MANAGEMENT, LLC

RIA

CRD#: 111302

POMPTON LAKES, NJ

Past

August 30, 2002 - October 24, 2005

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

May 27, 1998 - June 18, 2001

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

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

New Jersey
(12/1/2020)

IAR

New York
(4/6/2021)

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

Series 63

Date: 5/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/1998

General Securities Representative Examination

Current Firm

RETIREMENT WEALTH MANAGEMENT, LLC

CRD#: 310386 / SEC#:

New Jersey

Registered Investment Advisory firm - (9/23/2020 Approved)

New York

Registered Investment Advisory firm - (1/4/2021 Approved)

Texas

Registered Investment Advisory firm - (12/24/2024 Conditional Restricted)

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Contact information

Main Address

80 East Passaic Avenue, Nutley, NJ 07110

Mailing Address

Phone number

(973) 661-1988

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 45,709,930

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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Richard L. Polo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Louis Polo SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREMENT WEALTH MANAGEMENT, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

C.J.M. ASSET MANAGEMENT, LLC

C. J. M. PLANNING CORP.

1ST GLOBAL CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/22/1998

Current Firm

RETIREMENT WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RETIREMENT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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