Charles K. Pouliot

WEALTH EFFECTS

West New York, NJ

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CRD#: 5430319

Professional summary

Charles K Pouliot, who also goes by Chad Pouliot, is a registered financial advisor currently at WEALTH EFFECTS located in West New York, New Jersey.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Charles has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chad Pouliot

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) LVXP, LLC; Investment Related; 2601 South Las Vegas Blvd. Las Vegas, Nevada 89109; Real Estate Development; member of the Board of Directors and Equity partner; 10/30/2023; 2 hours per month; provide strategic oversight and guidance on project initiatives

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles K Pouliot'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®

None

Experience

Current

October 30, 2023 - Present

WEALTH EFFECTS

RIA

CRD#: 315244

West New York, NJ

Past

March 25, 2020 - December 31, 2023

BRIDGEWAY WEALTH PARTNERS, LLC

RIA

CRD#: 299810

NEW YORK, NY

Past

November 27, 2019 - January 13, 2020

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

New York, NY

Past

December 10, 2018 - May 12, 2020

AVENIR PRIVATE ADVISORS, LLC

RIA

CRD#: 298064

New York, NY

Past

November 9, 2017 - July 25, 2018

PROCYON

RIA

CRD#: 288239

SHELTON, CT

Past

April 22, 2009 - October 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 21, 2008 - October 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 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

New Jersey
(10/30/2023)

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 66

Date: 4/20/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2008

General Securities Representative Examination

Current Firm

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

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Contact information

Main Address

265 Franklin Street Suite 1702, Boston, MA 02110

Mailing Address

Phone number

(617) 465-2560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH EFFECTS DISCLOSURE BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts	969
AUM (Assets Under Management)	$ 405,838,000

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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Firm Stability Insights

Charles K. Pouliot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles K Pouliot's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRIDGEWAY WEALTH PARTNERS, LLC

ALLIED MILLENNIAL PARTNERS, LLC

AVENIR PRIVATE ADVISORS, LLC

PROCYON

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WEALTH EFFECTS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2009

SIE

Date: 10/13/2017

Series 7

Date: 5/20/2008

Current Firm

WEALTH EFFECTS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH EFFECTS

TRUST BUT VERIFY

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