Todd J. Pouliot

GATEWAY FINANCIAL

NORTHFIELD, OH

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CRD#: 4854139

Professional summary

Todd James Pouliot is a registered financial advisor currently at GATEWAY FINANCIAL located in Northfield, Ohio.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Todd has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd James Pouliot'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 9, 2019 - Present

GATEWAY FINANCIAL

RIA

CRD#: 306078

NORTHFIELD, OH

Past

April 28, 2010 - April 7, 2020

SPC

RIA

CRD#: 110692

NORTHFIELD CENTER, OH

Past

October 1, 2008 - April 7, 2020

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Northfield Center, OH

Past

October 11, 2004 - October 8, 2008

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

AKRON, OH

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

Ohio
(12/9/2019)

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: 12/7/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/2006

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: 12/10/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/8/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GATEWAY FINANCIAL

GATEWAY FINANCIAL | GATEWAY FINANCIAL, LLC

CRD#: 306078 / SEC#:

Ohio

Registered Investment Advisory firm - (12/9/2019 Approved)

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Contact information

Main Address

9821 Olde Eight Road Ste M, Northfield, OH 44067

Mailing Address

Phone number

(844) 592-9888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 31,014,190

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Todd J. Pouliot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd James Pouliot's CRS (Customer Relationship Summary).

Certified licenses

Experience

GATEWAY FINANCIAL

SPC

SIGMA FINANCIAL CORPORATION

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2012

Series 63

Date: 11/9/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/10/2008

Series 6

Date: 10/8/2004

Current Firm

GATEWAY FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GATEWAY FINANCIAL

TRUST BUT VERIFY

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