Charles Pouliot has been an investment adviser representative at Wealth Effects since October 2023, and is not listed among the firm’s executive officers or direct owners.
Wealth Effects LLC is a Boston, MA firm with $472M under management, 602 clients and 9 advisers across 11 offices, as of its February 2026 filing.
Charles Pouliot’s longest registration was 8 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009–2017). Before joining Wealth Effects in 2023, Charles Pouliot was registered through Bridgeway Wealth Partners, LLC and Avenir Private Advisors, LLC.
- Wealth EffectsCurrent– present · 2 yearsWest New York, NJ · Adviser representative · Firm CRD 315244
- Bridgeway Wealth Partners, LLC– · 3 yearsNew York, NY · Adviser representative · Firm CRD 299810
- Avenir Private Advisors, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 298064
- Procyon Private Wealth Partners, LLC– · under a yearShelton, CT · Adviser representative · Firm CRD 288239
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 8 yearsNew York, NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Charles Pouliot is registered as an investment adviser representative in New Jersey, since October 2023.
- New JerseySince 30 October 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 20 April 2009 |
| Series 7 | General Securities Representative Examination | 20 May 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles K Pouliot
- CRD
- 5430319
- Firm
- Wealth Effects · CRD 315244
- Office
- West New York, NJ
- Registration
- Investment adviser registration
- In the industry since
- October 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Charles Pouliot work?
Charles Pouliot is an investment adviser representative registered through Wealth Effects LLC since October 2023, and is not listed among the firm’s executive officers or direct owners.
Is Charles Pouliot a financial advisor?
Yes. Charles Pouliot has a current investment-adviser registration in New Jersey, through Wealth Effects since October 2023.
How many years of experience does Charles Pouliot have?
Charles Pouliot has 17 years in the financial industry, since October 2008, across 5 adviser firms.
What exams has Charles Pouliot passed?
Charles Pouliot has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2008. FINRA credited Charles Pouliot with the SIE, which began in October 2018.
Where did Charles Pouliot work before Wealth Effects?
Before Wealth Effects, Charles Pouliot was registered through Avenir Private Advisors, LLC, December 2018 to May 2020; Procyon Private Wealth Partners, LLC, November 2017 to July 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2009 to October 2017.
Where is Charles Pouliot based?
Charles Pouliot’s registered office is in West New York, NJ.
Is Charles Pouliot registered with FINRA?
No. Charles Pouliot has no current broker registration.
How can I verify Charles Pouliot’s record?
Search CRD 5430319 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Pouliot’s full registration record.