LP
Laura L. Palumbo
CETERA INVESTMENT ADVISERS LLC
MADISON, CT
Some features on this profile are disabled
CRD#: 1262003
LP
Professional summary
Laura Lynne Palumbo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Madison, Connecticut and CETERA WEALTH SERVICES, LLC located in Madison, Connecticut.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Laura has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 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.
(1) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LIFE/ACCIDENT/HEALTH, LTC FROM PRIVATE RESIDENCE FOR 10HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS SINCE 1/1995
(2) NAME OF OTHER BUSINESS: DBA STERLING WEALTH MANAGEMENT
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED ADDRESS
NATURE OF BUSINESS: INSURANCE SALES
START DATE: 1/07
POSITION/TITLE/RELATIONSHIP: SALES
APX NUMBER OF HOURS PER WEEK: 4
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: INSURANCE/ANNUITY SALES
(3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 10/2020
APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES
(4) NAME OF OTHER BUSINESS: LAURA PALUMBO ;
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ART SALES ;
START DATE: 10/2020 ;
APX NUMBER OF HOURS PER WEEK: 2
APX NUMBER OF HOURS DURING TRADING HOURS: 2
POSITION/TITLE/RELATIONSHIP: ARTIST ;
BRIEF DESCRIPTION OF DUTIES: PAINT PAINTINGS, GIVE THEM TO LOCAL STORE OWNER(S) TO SELL ;
CRS (Client Relationship Summary) - RIA
Click below to view Laura Lynne Palumbo's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MADISON, CT
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MADISON, CT
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
NORTH HAVEN, CT
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
NORTH HAVEN, CT
Past
January 6, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
NEW HAVEN, CT
Past
January 6, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
July 19, 1993 - January 26, 1995
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
April 28, 1992 - November 18, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 28, 1992 - November 18, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 21, 1991 - March 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 10, 1984 - November 14, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
California(9/3/2013)
RR
Connecticut(9/3/2013)
IAR
Connecticut(6/29/2023)
RR
Florida(9/3/2013)
RR
Maine(1/25/2023)
RR
Massachusetts(9/3/2013)
RR
Michigan(6/16/2016)
RR
Missouri(9/3/2013)
RR
New Hampshire(5/2/2023)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(1/11/2018)
RR
Oregon(1/2/2025)
RR
Pennsylvania(5/15/2025)
RR
Rhode Island(1/2/2025)
RR
Washington(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
