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JS

Joseph J. Szal

TEMPUS WEALTH PLANNING
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 2216245
JS

Professional summary

Joseph John Szal JR, who also goes by Joseph J Szal Jr, Joseph J Szal, Joseph John Szal, is a registered financial advisor currently at TEMPUS WEALTH PLANNING, LLC located in Irvine, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph J Szal Jr | Joseph J Szal | Joseph John Szal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph John Szal JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 14, 2022 - Present

TEMPUS WEALTH PLANNING, LLC

Office #1: 100 Spectrum Center Drive Suite 1070, Irvine, CA 92618
RIA
CRD#: 285349
Irvine, CA
Past

March 27, 2013 - February 24, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT BEACH, CA
Past

March 27, 2013 - February 24, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWPORT BEACH, CA
Past

March 23, 2009 - March 28, 2013

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
YARDLEY, PA
Past

March 18, 2009 - March 28, 2013

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
YARDLEY, PA
Past

July 1, 2003 - March 19, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LAWRENCEVILLE, NJ
Past

July 1, 2003 - March 19, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LAWRENCEVILLE, NJ
Past

June 5, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
PRINCETON, NJ
Past

April 10, 1992 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
TEMPUS WEALTH PLANNING, LLC
TEMPUS WEALTH PLANNING, LLC
SSJ LLC | TEMPUS WEALTH PLANNING, LLC

CRD#: 285349 / SEC#: 801-108462

RIA
Registered Investment Advisory firm - (11/7/2016 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.

Highlighted states indicate IAR registrations

IAR
California
(2/14/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/2/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1992
General Securities Representative Examination

Current Firm

TEMPUS WEALTH PLANNING, LLC
TEMPUS WEALTH PLANNING, LLC
SSJ LLC | TEMPUS WEALTH PLANNING, LLC

CRD#: 285349 / SEC#: 801-108462

RIA
Registered Investment Advisory firm - (11/7/2016 Approved)
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Contact information

Main Address
100 Spectrum Center Drive Suite 1070, Irvine, CA 92618
Mailing Address
Phone number
(949) 393-2525
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts1,620
AUM (Assets Under Management)$ 506,514,848

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.

Company Information

TEMPUS WEALTH PLANNING, LLC

TEMPUS WEALTH PLANNING, LLC

CRD#: 285349Irvine, CA 92618

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