Richard J. Prozzo

DAVIDSON WEALTH MANAGEMENT LLC

FORKED RIVER, NJ 08731

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CRD#: 7487664

Professional summary

Richard Joseph Prozzo is a registered financial advisor currently at DAVIDSON WEALTH MANAGEMENT LLC located in Forked River, New Jersey and OSAIC WEALTH, INC. located in Forked River, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Richard has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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 Richard Joseph Prozzo'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

April 16, 2024 - Present

DAVIDSON WEALTH MANAGEMENT LLC

Office #1: 1041 West Lacey Road 2nd Floor, Forked River, NJ 08731

RIA

CRD#: 153227

FORKED RIVER, NJ

Current

June 5, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 1041 W Lacey Rd 2nd Floor, Forked River, NJ 08731

RIA

CRD#: 23131

FORKED RIVER, NJ

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".

DAVIDSON WEALTH MANAGEMENT LLC

CRD#: 153227 / SEC#: 801-71216

RIA

Registered Investment Advisory firm - (3/22/2010 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(4/8/2024)

IAR

New Jersey
(4/16/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/5/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/5/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/13/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DAVIDSON WEALTH MANAGEMENT LLC

CRD#: 153227 / SEC#: 801-71216

RIA

Registered Investment Advisory firm - (3/22/2010 Approved)

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Contact information

Main Address

1041 West Lacey Road 2nd Floor, Forked River, NJ 08731

Mailing Address

Phone number

(732) 409-1060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAVIDSON WEALTH MANAGEMENT LLC AMENDED FORM ADV, PART 2A. (11/17/2025)

Regulatory assets under management

Total Number of Accounts	635
AUM (Assets Under Management)	$ 147,636,663

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 J. Prozzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Prozzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAVIDSON WEALTH MANAGEMENT LLC

OSAIC WEALTH, INC.

Primary Firm SEC Registration

DAVIDSON WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2024

Series 7TO

Date: 6/5/2023

SIE

Date: 5/13/2022

FINRA

Current Firm

DAVIDSON WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAVIDSON WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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