Gregory M. Palmieri

SOFI WEALTH LLC

Charlotte, NC

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CRD#: 5356903

Professional summary

Gregory Matthew Palmieri, CFP® is a registered financial advisor currently at SOFI WEALTH LLC located in Charlotte, North Carolina and SOFI SECURITIES LLC located in San Francisco, California.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Gregory has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Gregory Matthew Palmieri'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

March 8, 2018 - Present

SOFI WEALTH LLC

RIA

CRD#: 167958

Charlotte, NC

Current

March 8, 2018 - Present

SOFI SECURITIES LLC

Office #1: 234 1st Street, San Francisco, CA 94105

CRD#: 151717

San Francisco, CA

Past

July 11, 2014 - August 7, 2017

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

VIENNA, VA

Past

July 7, 2014 - August 7, 2017

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

Vienna, VA

Past

March 23, 2012 - May 16, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEWICKLEY, PA

Past

March 9, 2011 - May 16, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEWICKLEY, PA

Past

November 25, 2009 - May 25, 2010

MORGAN STANLEY

RIA

CRD#: 149777

BLOOMINGTON, MN

Past

November 24, 2009 - May 25, 2010

MORGAN STANLEY

CRD#: 149777

BLOOMINGTON, MN

Past

October 8, 2009 - November 11, 2009

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GREENSBURG, PA

Past

September 25, 2009 - November 11, 2009

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GREENSBURG, PA

Past

July 23, 2007 - September 25, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PITTSBURGH, PA

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".

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 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

IAR

North Carolina
(1/14/2020)

North Carolina
(11/28/2022)

IAR

Texas
(1/14/2020)

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: 8/1/2007

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: 12/18/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/20/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

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Contact information

Main Address

234 1st Street, San Francisco, CA 94105

Mailing Address

Phone number

(855) 525-7634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOFI WEALTH ADV PART 2A (2/27/2025)

SOFI WEALTH ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	279,216
AUM (Assets Under Management)	$ 1,475,104,376

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

Gregory M. Palmieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Matthew Palmieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2007

SIE

Date: 10/1/2018

Series 31

Date: 12/18/2009

Series 7

Date: 7/20/2007

Series 24

Date: 6/30/2023

FINRA

Current Firm

SOFI WEALTH LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOFI WEALTH LLC

TRUST BUT VERIFY

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