Philip G. Palumbo

PALUMBO WEALTH MANAGEMENT LLC

Great Neck, NY 11021

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CRD#: 4158450

Professional summary

Philip G Palumbo, CFP®, who also goes by Philip Palumbo, is a registered financial advisor currently at PALUMBO WEALTH MANAGEMENT LLC located in Great Neck, New York and PRIVATE CLIENT SERVICES, LLC located in Great Neck, New York.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Philip Palumbo

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. Registered Representative of Private Client Services. He spends less than 10% per month. 2. Insurance Sales. Not Investment Related. 1010 Northern Blvd, Great Neck NY 11021. Insurance. Agent. Started 01/2020. 5 hours per week not during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip G Palumbo'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®

CFP^®

Certified Financial Planner

Experience

Current

June 9, 2020 - Present

PALUMBO WEALTH MANAGEMENT LLC

Office #1: 1010 Northern Boulevard Suite 310, Great Neck, NY 11021

RIA

CRD#: 306548

Great Neck, NY

Current

January 17, 2020 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1010 Northern Blvd Suite 310, Great Neck, NY 11021

RIA

CRD#: 120222

Great Neck, NY

Past

September 24, 2010 - January 28, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GARDEN CITY, NY

Past

September 24, 2010 - January 28, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GARDEN CITY, NY

Past

June 28, 2010 - October 15, 2010

MORGAN STANLEY

RIA

CRD#: 149777

GARDEN CITY, NY

Past

June 1, 2009 - October 15, 2010

MORGAN STANLEY

CRD#: 149777

GARDEN CITY, NY

Past

June 24, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GARDEN CITY, NY

Past

June 29, 2000 - June 29, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

PALUMBO WEALTH MANAGEMENT LLC

AKITTINY WEALTH ADVISORS, LLC | PALUMBO WEALTH MANAGEMENT LLC

CRD#: 306548 / SEC#: 801-117901

RIA

Registered Investment Advisory firm - (1/6/2020 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.

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

California
(1/17/2020)

Florida
(1/17/2020)

Illinois
(5/19/2021)

Kentucky
(1/17/2020)

Maryland
(1/17/2020)

New Jersey
(8/10/2022)

New York
(1/17/2020)

IAR

New York
(7/26/2021)

North Carolina
(1/17/2020)

IAR

Texas
(6/9/2020)

Washington
(1/17/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/26/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/17/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/28/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALUMBO WEALTH MANAGEMENT LLC

AKITTINY WEALTH ADVISORS, LLC | PALUMBO WEALTH MANAGEMENT LLC

CRD#: 306548 / SEC#: 801-117901

RIA

Registered Investment Advisory firm - (1/6/2020 Approved)

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Contact information

Main Address

1010 Northern Boulevard Suite 310, Great Neck, NY 11021

Mailing Address

Phone number

(516) 629-7073

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PWM DISCLOSURE BROCHURE AND PRIVACY POLICY (7/16/2025)

Regulatory assets under management

Total Number of Accounts	790
AUM (Assets Under Management)	$ 542,198,478

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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Advisor Monitoring

Firm Stability Insights

Philip G. Palumbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip G Palumbo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PALUMBO WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2000

SIE

Date: 10/1/2018

Series 31

Date: 8/17/2005

Series 7

Date: 6/28/2000

FINRA

Current Firm

PALUMBO WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALUMBO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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