Louis Palumbo, financial advisor Aventura FL
58 score

Louis Palumbo

CRD Number: 5915252
Current Firm: Morgan Stanley

Louis Palumbo (CRD# 5915252) is an Investment Advisor Representative working at Morgan Stanley in Aventura, FL and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Aventura, FL Jul 2014 - Current 2
Morgan Stanley Smith Barney Ft. Lauderdale, FL May 2014 - Jul 2014 < 1
Morgan Stanley Smith Barney Aventura, FL Mar 2013 - May 2014 1
Unemployed Miami, FL Jan 2013 - Feb 2013 < 1
Merrill Lynch, Pierce, Fenner And Smith, Inc. Miami, FL Jan 2012 - Dec 2012 < 1
Dawson James Securities Boca Raton, FL Mar 2011 - Jan 2012 < 1
Unemployed Miami Beach, FL Nov 2010 - Mar 2011 < 1
Burger And Beer Miami Beach, FL Nov 2010 - Nov 2010 < 1
Rock And Marine Miami, FL Jul 2010 - Oct 2010 < 1
East Coast Boat Lift Urbanna, VA Mar 2010 - Jun 2010 < 1
Unemployed Urbanna, VA Mar 2009 - Mar 2010 1
Carlton And Edwards Saluda, VA Jul 2007 - Mar 2009 1
Unemployed Miami, FL May 2007 - Jul 2007 < 1
Home Depot Miami, FL Feb 2007 - May 2007 < 1
Unemployed Miami, FL May 2006 - Feb 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2011
S65 NASAA Investment Advisors Law Examination Apr 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Louis A. Palumbo
Phone Number: 914-225-5510
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
58

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