John R. Poolman
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CRD#: 735316
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Richard Poolman, who also goes by John R Poolman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Biography
John R. Poolman has over 35 years experience assisting investors in making wise investment choices and protecting their assets. In 2017 he joined Royal Fund Management, LLC as an Investment Advisor Representative to utilize their Advisory skills and guidance and to continue financial advisory planning for his clients. His value statement is "Partnering with you to reach your Financial Life goals."
As an adviser, John specializes in providing help and offering solutions for the many difficult issues people deal with concerning their money. His goal is to educate others with many of the aspects of wealth management that will enable them to make wise decisions not just with their money, but legacy planning, estate planning and other planning issues as well. John has ideas to help meet the financial needs and goals for every investor honoring the Royal Fund Management position statement "Client First."
He and his wife, Kay, are the proud parents of three children and seventeen grandchildren. John and Kay believe that their children are their greatest accomplishment in their lives.
Question & Answer
What are your service offerings?
Planning and Investing for Ret...
Fee Based Asset Management,
Tax Reduction Strategies,
Wealth Preservation,
401(k), IRA, 403(b) Management...
IRA Distributions and RMD Plan...
Pension Maximization
Are you a "fiduciary"?
No
Aliases
John R Poolman
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.) INSURANCE SALES, YES, 8237 ROSEHILL RD. LENEXA, KS 66215, LIFE/ ANNUITY/ DISABILITY, SELF EMPLOYED, 1981, 100 HRS/MO, 80 HRS DURING TRADING, SALES; 2) 02/2017 AM Consulting Group, LLC; Managing Member; Tax Purposes Only; non investment related; 8237 Rosehill Rd., Lenexa, KS 662155
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 4, 2017 - August 16, 2023
ROYAL FUND MANAGEMENT, LLC
RIA
CRD#: 144434
Lenexa, KS
Past
January 8, 2015 - April 6, 2017
D.H. HILL ADVISORS, INC.
RIA
CRD#: 116324
LENEXA, KS
Past
August 25, 2014 - April 6, 2017
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
KINGWOOD, TX
Past
October 26, 2011 - August 25, 2014
MONTICELLO INVESTMENT SERVICES, INC.
RIA
CRD#: 140851
NEOSHO, MO
Past
October 26, 2011 - August 25, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
LENEXA, KS
Past
June 30, 2009 - October 27, 2011
KALOS MANAGEMENT
RIA
CRD#: 133025
PONTE VEDRA BEACH, FL
Past
June 30, 2009 - October 27, 2011
KALOS CAPITAL, INC.
BD
CRD#: 44337
SPRINGFIELD, MO
Past
June 10, 2008 - July 2, 2009
SUTTERFIELD FINANCIAL GROUP, INC.
RIA
CRD#: 115652
SPRINGFIELD, MO
Past
May 27, 2008 - June 22, 2009
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
SPRINGFIELD, MO
Past
July 12, 2005 - May 27, 2008
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
SPRINGFIELD, MO
Past
May 7, 1998 - July 11, 2005
NTB FINANCIAL CORPORATION
BD
CRD#: 7425
HIGHLANDS RANCH, CO
Past
June 28, 1996 - May 26, 1998
FIRST SPRINGFIELD SECURITIES, INC.
BD
CRD#: 25099
SPRINGFIELD, MO
Past
August 20, 1992 - July 12, 1996
COMMERCE BROKERAGE SERVICES, INC.
BD
CRD#: 17140
CLAYTON, MO
Past
July 23, 1990 - April 2, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 2, 1989 - July 25, 1990
GENERAL SECURITIES CORP
BD
CRD#: 15062
NORTH KANSAS CITY, MO
Past
July 30, 1981 - January 11, 1989
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
RF
ROYAL FUND MANAGEMENT, LLC
401(K) MANEUVER | YI WEALTH MANAGEMENT | WOERNLE WEALTH MANAGEMENT, LLC | WEALTH HARMONICS | WAYFINDER WEALTH MANAGEMENT | WAGNER INVESTMENT & RETIREMENT ADVISORS | VALLEY ASSET MANAGERS LLC | TRU FINANCIAL STRATEGIES | TRIPLETT WEALTH MANAGEMENT | TRANSPARENT FINANCIAL GROUP | THE SORENSEN ADVISORY GROUP, LLC | STRATEGIC FINANCIAL GROUP | STILL WATERS FINANCIAL GROUP LLC | STANDARD CAPITAL FINANCIAL | SPROUSE INVESTMENTS LLC | SOUTHWEST RETIREMENT & WEALTH MANAGEMENT | SOLUTIONS ADVISORY SERVICES, LLC | SOLID WEALTH ADVISORS, LLC | SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC | SCHLOSSER INSURANCE SERVICES LLC | SAGE RETIREMENT SERVICES, LLC | ROYAL FUND MANAGEMENT, LLC | ROYAL FUND MANAGEMENT | RIDGEBROOKE INVESTMENT PLANNING | RETIREMENT INCOME SPECIALISTS | PRIME FINANCIAL ADVISORS | PLANNING ASSOCIATES OF THE SOUTHERN TIER | PELTZ FINANCIAL SERVICES | PATRICK LYNCH FINANCIAL | NORTHSHORE PLANNING GROUP | NORTHPOINT FINANCIAL, LLC | NORRIS FINANCIAL SOLUTIONS | NEXUS FINANCIAL GROUP | NEW LIFE FINANCIAL SOLUTIONS, LLC | NEW LIFE FINANCIAL PLANNING, LLC | MCRAE INVESTMENT ADVISORY | LONG FINANCIAL | LINK RETIREMENT & FINANCIAL SERVICES | LINK FINANCIAL LLC | LIFEPLAN PARTNERS, LLC | LIFE & LEGACY ADVISORS, LLC | LEGACY RETIREMENT SERVICES, INC. | JUDY CARLSON FINANCIAL GROUP | JO-ANN HOLST ADVISERS, INC | JO-ANN HOLST ADVISERS | JH ADVISERS | JD UNDERWOOD FINANCIAL | J.D. UNDERWOOD WEALTH MANAGEMENT, INC. | IOWA WEALTH ADVISORS | INTEGRITY WEALTH MANAGEMENT SOLUTIONS | INTEGRITY INVESTMENT AND RISK MANAGEMENT | HOWELL WEALTH CONSULTANTS LLC | HAWKS FINANCIAL, LLC | HARBOUR FINANCIAL GROUP, INC. | GOVERNMENT PERSONNEL ADVISORY GROUP, LLC | GATEKEEPER INVESTMENT ADVISERS | FREDRICK ADVISORS | FREDERICK FINANCIAL GROUP | FRACTAL PROFILE WEALTH MANAGEMENT | FINGERFINANCIAL | FINANCIAL VISION & INVESTMENT SERVICES, INC. | FINANCIAL STRATEGIES, INC. | FINANCIAL ADVISORS OF THE ROCKIES, INC. | FAMILY FINANCIAL RETIREMENT SYSTEMS LLC | EDWARDS INVESTMENTS LLC | DARLING WEATLH MANAGEMENT, LLC | CORNERSTONE FINANCIAL RESOURCES, LLC | COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC | CLEARPOINT FINANCIAL GROUP | CAMINO ADVISORY | BUDNICK WEALTH MANAGEMENT | BRIZENDINE ADVISOR SERVICES, LLC | BRIDGE WEALTH STRATEGIES | BLACKSTON FINANCIAL ADVISORY GROUP | BENTLEY FINANCIAL | AR WEALTH MANAGEMENT | AMERICAN ELITE RETIREMENT LLC | AMERICA DIRECT, LLC | ALTMEYER FINANCIAL INVESTMENTS, LLC | ADVANCED FINANCIAL STRATEGIES | ADAGE FINANICAL CONSULTANTS, INC.
CRD#: 144434 / SEC#: 801-77918
RIA
Registered Investment Advisory firm - (4/10/2013 Approved)Florida
Registered Investment Advisory firm - (8/26/2013 Terminated)Kentucky
Registered Investment Advisory firm - (8/27/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RF
ROYAL FUND MANAGEMENT, LLC
401(K) MANEUVER | YI WEALTH MANAGEMENT | WOERNLE WEALTH MANAGEMENT, LLC | WEALTH HARMONICS | WAYFINDER WEALTH MANAGEMENT | WAGNER INVESTMENT & RETIREMENT ADVISORS | VALLEY ASSET MANAGERS LLC | TRU FINANCIAL STRATEGIES | TRIPLETT WEALTH MANAGEMENT | TRANSPARENT FINANCIAL GROUP | THE SORENSEN ADVISORY GROUP, LLC | STRATEGIC FINANCIAL GROUP | STILL WATERS FINANCIAL GROUP LLC | STANDARD CAPITAL FINANCIAL | SPROUSE INVESTMENTS LLC | SOUTHWEST RETIREMENT & WEALTH MANAGEMENT | SOLUTIONS ADVISORY SERVICES, LLC | SOLID WEALTH ADVISORS, LLC | SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC | SCHLOSSER INSURANCE SERVICES LLC | SAGE RETIREMENT SERVICES, LLC | ROYAL FUND MANAGEMENT, LLC | ROYAL FUND MANAGEMENT | RIDGEBROOKE INVESTMENT PLANNING | RETIREMENT INCOME SPECIALISTS | PRIME FINANCIAL ADVISORS | PLANNING ASSOCIATES OF THE SOUTHERN TIER | PELTZ FINANCIAL SERVICES | PATRICK LYNCH FINANCIAL | NORTHSHORE PLANNING GROUP | NORTHPOINT FINANCIAL, LLC | NORRIS FINANCIAL SOLUTIONS | NEXUS FINANCIAL GROUP | NEW LIFE FINANCIAL SOLUTIONS, LLC | NEW LIFE FINANCIAL PLANNING, LLC | MCRAE INVESTMENT ADVISORY | LONG FINANCIAL | LINK RETIREMENT & FINANCIAL SERVICES | LINK FINANCIAL LLC | LIFEPLAN PARTNERS, LLC | LIFE & LEGACY ADVISORS, LLC | LEGACY RETIREMENT SERVICES, INC. | JUDY CARLSON FINANCIAL GROUP | JO-ANN HOLST ADVISERS, INC | JO-ANN HOLST ADVISERS | JH ADVISERS | JD UNDERWOOD FINANCIAL | J.D. UNDERWOOD WEALTH MANAGEMENT, INC. | IOWA WEALTH ADVISORS | INTEGRITY WEALTH MANAGEMENT SOLUTIONS | INTEGRITY INVESTMENT AND RISK MANAGEMENT | HOWELL WEALTH CONSULTANTS LLC | HAWKS FINANCIAL, LLC | HARBOUR FINANCIAL GROUP, INC. | GOVERNMENT PERSONNEL ADVISORY GROUP, LLC | GATEKEEPER INVESTMENT ADVISERS | FREDRICK ADVISORS | FREDERICK FINANCIAL GROUP | FRACTAL PROFILE WEALTH MANAGEMENT | FINGERFINANCIAL | FINANCIAL VISION & INVESTMENT SERVICES, INC. | FINANCIAL STRATEGIES, INC. | FINANCIAL ADVISORS OF THE ROCKIES, INC. | FAMILY FINANCIAL RETIREMENT SYSTEMS LLC | EDWARDS INVESTMENTS LLC | DARLING WEATLH MANAGEMENT, LLC | CORNERSTONE FINANCIAL RESOURCES, LLC | COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC | CLEARPOINT FINANCIAL GROUP | CAMINO ADVISORY | BUDNICK WEALTH MANAGEMENT | BRIZENDINE ADVISOR SERVICES, LLC | BRIDGE WEALTH STRATEGIES | BLACKSTON FINANCIAL ADVISORY GROUP | BENTLEY FINANCIAL | AR WEALTH MANAGEMENT | AMERICAN ELITE RETIREMENT LLC | AMERICA DIRECT, LLC | ALTMEYER FINANCIAL INVESTMENTS, LLC | ADVANCED FINANCIAL STRATEGIES | ADAGE FINANICAL CONSULTANTS, INC.
CRD#: 144434 / SEC#: 801-77918
RIA
Registered Investment Advisory firm - (4/10/2013 Approved)Florida
Registered Investment Advisory firm - (8/26/2013 Terminated)Kentucky
Registered Investment Advisory firm - (8/27/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1515 Buenos Aires Blvd, Lady Lake, FL 32159
Mailing Address
Phone number
(352) 750-1637
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,143 |
| AUM (Assets Under Management) | $ 1,307,115,289 |
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.
