Andrew J. Palumbo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Joseph Palumbo JR, who also goes by Andrew Joseph Palumbo, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2018 - December 22, 2023
DAWSON JAMES SECURITIES, INC.
October 10, 1994 - June 18, 1999
THE AGEAN GROUP, INC
September 30, 1994 - October 13, 1994
JOSEPH CHARLES & ASSOC., INC.
June 29, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
July 9, 1992 - July 26, 1994
J. GREGORY & COMPANY, INC.
January 2, 1987 - July 13, 1992
J. W. GANT & ASSOCIATES, INC.
January 14, 1985 - January 2, 1987
MICHELIN AND COMPANY, INC.
August 22, 1984 - January 25, 1985
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
