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Robert Santino Paolucci

Robert S. Paolucci

PRINCIPLE WEALTH | Founder / CEO
MADISON, CT 06443
Some features on this profile are disabled
CRD#: 4292225
Robert Santino Paolucci

Professional summary

Robert Santino Paolucci, CFP®, who also goes by Robert Paolucci, is a registered financial advisor currently at PRINCIPLE WEALTH located in Madison, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Robert has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

What are your service offerings?
Trading individual securities
Loans/credit services
Philanthropic services
Financial planning
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes

Aliases

Robert Paolucci

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Santino Paolucci's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Current

October 31, 2017 - Present

PRINCIPLE WEALTH

Office #1: 670 Boston Post Road, Madison, CT 06443
RIA
CRD#: 290180
MADISON, CT
Past

June 16, 2009 - October 30, 2017

ESSEX FINANCIAL SERVICES, INC.

RIA
CRD#: 127549
MADISON, CT
Past

June 16, 2009 - November 29, 2018

ESSEX FINANCIAL SERVICES, INC.

BD
CRD#: 127549
MADISON, CT
Past

March 31, 2008 - June 17, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ESSEX, CT
Past

March 31, 2008 - June 17, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
ESSEX, CT
Past

December 20, 2003 - April 3, 2008

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MILLBURN, NJ
Past

January 24, 2001 - April 3, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW HAVEN, CT

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".
PW
PRINCIPLE WEALTH
PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA
Registered Investment Advisory firm - (10/20/2017 Approved)

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
Connecticut
(10/31/2017)
IAR
Texas
(11/17/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/20/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/7/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/12/2007
General Securities Sales Supervisor - Options Module Examination

Current Firm

PW
PRINCIPLE WEALTH
PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA
Registered Investment Advisory firm - (10/20/2017 Approved)
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Contact information

Main Address
670 Boston Post Road, Madison, CT 06443
Mailing Address
Po Box 1007, Madison, CT 06443
Phone number
(203) 318-8892
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts3,732
AUM (Assets Under Management)$ 2,658,955,480

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/26/2025
Cover Page
Report
11/13/2024
Cover Page
Report
05/09/2023
Cover Page
Report

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.

Company Information

PRINCIPLE WEALTH

Founder / CEOCRD#: 290180Madison, CT 06443

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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