Vincent J. Palumbos

NOVEM GROUP

Rochester, NY 14625

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CRD#: 3220021

Professional summary

Vincent James Palumbos, who also goes by VIn Palumbos, Vince Palumbos, is a registered financial advisor currently at NOVEM GROUP located in Rochester, New York.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Vincent has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vin Palumbos | Vince Palumbos

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. CIVIL AIR PATROL. SAFETY OFFICER MISSION PILOT. NOT INVESTMENT-RELATED. CADET EDUCATION. SEARCH AND RESCUE. START DATE 2008. 12 HOURS DEVOTED PER MONTH, 6 HOURS DURING MARKET HOURS. 2. AMERICAN PORTFOLIOS ADVISORS, INC. INVESTMENT-RELATED. FEE BASED ADVISORY BUSINESS. START DATE 8/2016. 20 HOURS DEVOTED PER MONTH DURING MARKET HOURS. 3. NOVEM GROUP. INVESTMENT-RELATED. INVESTMENT ADVISER REPRESENTATIVE. START DATE 11/2017. 20 HOURS DEVOTED PER MONTH DURING MARKET HOURS. 4. AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. INVESTMENT-RELATED. REGISTERED REPRESENTATIVE. START DATE 8/2016. 20 HOURS DEVOTED PER MONTH DURING MARKET HOURS. 5. NON-INVESTMENT RELATED. INSURANCE AGENT. START DATE 8/2016. 0 HOURS DEVOTED PER MONTH DURING MARKET HOURS. 8 HRS/MONTH TOTAL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent James Palumbos'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

November 14, 2017 - Present

NOVEM GROUP

Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625

RIA

CRD#: 158964

Rochester, NY

Past

October 11, 2024 - January 26, 2025

OSAIC WEALTH, INC.

CRD#: 23131

ROCHESTER, NY

Past

August 10, 2016 - December 10, 2021

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

August 10, 2016 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROCHESTER, NY

Past

February 17, 2005 - August 10, 2016

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

ROCHESTER, NY

Past

July 30, 2004 - August 10, 2016

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, NY

Past

June 11, 1999 - August 3, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(4/6/2022)

IAR

California
(10/24/2022)

IAR

Florida
(2/13/2023)

IAR

Massachusetts
(12/8/2020)

IAR

New York
(10/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/11/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2007

General Securities Principal Examination

Current Firm

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

350 Linden Oaks Suite 140, Rochester, NY 14625

Mailing Address

Phone number

(585) 348-9525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B - HERENDEEN (3/24/2025)

ADV PART 2B - MURRAY (3/24/2025)

ADV PART 2B - BARTOLOTTA (3/24/2025)

ADV PART 2B - RACO (3/24/2025)

ADV PART 2B - ROEHRIG (3/24/2025)

ADV PART 2B - MANUEL (3/24/2025)

ADV PART 2B - ESTEVES (3/24/2025)

ADV PART 2B - MORGAN (3/24/2025)

ADV PART 2B - UGONE JAMES (3/24/2025)

ADV PART 2B - TOWER (3/24/2025)

ADV PART 2B - SIMONETTI (3/24/2025)

ADV PART 2B - DEAL (3/24/2025)

ADV PART 2B - BURKE (3/24/2025)

ADV PART 2B - PALUMBOS (3/24/2025)

ADV PART 2B - GERLACH (3/24/2025)

ADV PART 2B - LEAR (3/24/2025)

ADV PART 2B - GENTILE (3/24/2025)

ADV PART 2B - SPRINGER (3/24/2025)

ADV PART 2B - ALTIERI (3/24/2025)

ADV PART 2B - FROEHLICH (3/24/2025)

ADV PART 2B - GATTI (3/24/2025)

ADV PART 2B - WAGNER (3/24/2025)

ADV PART 2B - GIANCURSIO (3/24/2025)

ADV PART 2B - ALBRECHT (3/24/2025)

ADV PART 2B - REINERTSON (3/24/2025)

ADV PART 2B - TAYLOR (3/24/2025)

ADV PART 2B - UGONE GAVIN (3/24/2025)

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 1,413,641,568

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.

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Firm Stability Insights

Vincent J. Palumbos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent James Palumbos's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

NOVEM GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2004

Series 63

Date: 6/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/10/1999

Series 24

Date: 4/17/2007

Current Firm

NOVEM GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVEM GROUP

TRUST BUT VERIFY

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