Stephen J. Engel

PALUMBO WEALTH MANAGEMENT LLC

Great Neck, NY 11021

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CRD#: 5895087

Professional summary

Stephen Jarret Engel, who also goes by Stephen Engel, 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.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Engel

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) Mid Island Y Jewish Community Center. 45 Manetto Hill Rd, Plainview, NY 11803. The Mid-Island Y JCC provides vital services and fosters Jewish identity, personal growth, family strength, and community. Board member. 2) Stephen Engel is dually registered with Palumbo Wealth Management LLC ("Palumbo Wealth") and Private Client Services, LLC. ("PCS"). Mr. Engel has served as an Investment Advisor Representative for Palumbo Wealth and a Registered Representative with PCS since 11/03/2022. Business is conducted from 1010 Northern Boulevard; Suite 310, Great Neck, NY, 11021. Approximately 90% of Mr. Engel's time is for services as an Investment Advisor Representative and the balance as a Registered Representative. 3) Insurance Sales. Not investment-related. Business is conducted from 1010 Northern Boulevard; Suite 310, Great Neck, NY, 11021. Licensed Insurance Agent. Approximately 10 hours of Mr. Engel's time per month is spent in his capacity as an insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Jarret Engel'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 6, 2020 - Present

PALUMBO WEALTH MANAGEMENT LLC

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

RIA

CRD#: 306548

Great Neck, NY

Current

November 3, 2022 - Present

PRIVATE CLIENT SERVICES, LLC

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

RIA

CRD#: 120222

Great Neck, NY

Past

November 30, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEW YORK, NY

Past

October 27, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

August 24, 2015 - January 5, 2016

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

NEW YORK, NY

Past

June 7, 2011 - August 26, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

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

New Jersey
(11/3/2022)

IAR

New York
(7/29/2021)

New York
(11/3/2022)

IAR

Texas
(11/6/2020)

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: 11/30/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2011

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

Stephen J. Engel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Jarret Engel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PALUMBO WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2017

Series 63

Date: 8/20/2011

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2011

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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