Richard Prozzo has been Managing Member and Chief Compliance Officer of Davidson Wealth Management since February 2010, is a control person of the firm and directly owns 75% or more of it. Richard Prozzo studied at Swarthmore College.
Davidson Wealth Management LLC is a Forked River, NJ firm with $172M under management, 228 clients and 3 advisers in one office, as of its June 2026 filing.
Richard E. Prozzo is President of Davidson Wealth Management, LLC, based in Forked River, New Jersey. He has been an investment adviser representative with the firm since 1996 and provides financial planning and asset management services. He chairs the firm's investment advisory committee, which provides asset allocation and investment selection policy.
Richard Prozzo’s longest registration is the current one, 16 years at Davidson Wealth Management since 2010. Before joining Davidson Wealth Management in 2010, Richard Prozzo was registered through Davidson Asset Managment, Inc.
- – present · 16 yearsForked River, NJ · Adviser representative · Firm CRD 153227
- Davidson Asset Managment, Inc.– · 7 yearsManalapan, NJ · Adviser representative · Firm CRD 109124
Investment adviser representative registrations
Richard Prozzo is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from April 2010; the most recent is New York, in March 2021.
- LouisianaSince 11 August 2010
- New JerseySince 7 April 2010
- New YorkSince 29 March 2021
- TexasResidentSince 15 April 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 26 April 2012 |
| Series 24 | General Securities Principal Examination | 9 October 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 19 September 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 1989 |
| Series 7 | General Securities Representative Examination | 19 August 1989 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Edward Prozzo
- CRD
- 1972687
- Firm
- Davidson Wealth Management · CRD 153227
- Role
- Managing Member and Chief Compliance Officer
- Office
- 1041 WEST LACEY ROAD, 2ND FLOOR, Forked River, NJ 08731
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- davidsonwealthmgmt.com
Where does Richard Prozzo work?
Richard Prozzo has been Managing Member and Chief Compliance Officer of Davidson Wealth Management LLC since February 2010, and is a control person of the firm.
Is Richard Prozzo a financial advisor?
Yes. Richard Prozzo has a current investment-adviser registration in Louisiana, New Jersey, New York and Texas, through Davidson Wealth Management since April 2010.
How many years of experience does Richard Prozzo have?
Richard Prozzo has 37 years in the financial industry, since August 1989, across 2 adviser firms.
What exams has Richard Prozzo passed?
Richard Prozzo has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 53 and Series 52TO. The earliest, the Series 7, was passed in August 1989. FINRA credited Richard Prozzo with the SIE, which began in October 2018.
Where is Richard Prozzo based?
Richard Prozzo’s registered office is in Forked River, NJ.
Is Richard Prozzo registered with FINRA?
Yes. Richard Prozzo has a current broker registration, under CRD 1972687.
Source: FINRA BrokerCheck
How can I verify Richard Prozzo’s record?
Search CRD 1972687 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Richard Prozzo’s full registration record.
