Joseph R. Palombo
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.
Joseph Robert Palombo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 3 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1999 - May 9, 2002
ALPHATRADE INC.
April 8, 1999 - May 21, 2004
BOFA DISTRIBUTORS, INC.
November 15, 1994 - January 28, 1999
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
ALPHATRADE INC.
CRD#: 43928 / SEC#: , 8-50476
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| ANTONE, LEWIS EMERSON JR | PRESIDENT | 2598478 |
| BABBITT, DEBRA RUTH | COMPLIANCE OFFICER | 717899 |
| BANKS, KEITH | DIRECTOR | |
| IUDICE, PHILIP JOHN JR | TREASURER AND CHIEF FINANCIAL OFFICER | 2036589 |
| JEAN LOEWENBERG | CLERK | |
| PALOMBO, JOSEPH ROBERT | DIRECTOR AND CHIEF OPERATING OFFICER | 2543562 |
| SAYLER, ROGER | DIRECTOR |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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