Joseph William Principe

Employer firm

Imperity Wealth Alliance LLC CRD 339113

$140M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2004 → Present
  Intellisys Networks
  Oceanside, NY
• 10/2007 → 05/2023
  Principal Life Insurance Company
  Melville, NY
• 10/2007 → 05/2023
  Principal Securities Inc
  Melville, NY
• 05/2023 → Present
  Imperity Advisors, Llc
  Melville, NY
• 05/2023 → Present
  Commonwealth Financial Network
  Waltham, MA
• 03/2026 → Present
  Imperity Wealth Alliance Llc
  Melville, NY

Previous Registrations

• 2021-06-30 → 2023-05-11
  Principal Securities, Inc.
  New York, NY
  Melville, NY
  New York, NY
  Long Beach, NY
  New York, NY

Other Businesses

1. Consulting, Intellisys Networks. providing Information Technology consulting; Located in Long Beach, NY, as of 01/2004; Less than 1% of time spent during business hours; Not conducted at branch; Not investment related. 2. Fixed insurance sales; as of 05/01/2023; 5% of time spent during business hours; Conducted at branch location; Investment related. 3. Subleasing Office Space to Imperity Advisors, LLC, as of 05/10/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 4. Co-owner, Imperity Group, LLC, an entity involved in ownership of Imperity Advisors, LLC and Imperity Insurance, LLC; as of 05/10/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 5. Owner, Goshawk Holdings, Inc.; an entity involved in ownership of Imperity Group, LLC, as of 05/03/2023; 5% of time spent during business hours; Conducted at branch location; Not Investment related. 6. Co-Owner, Imperity Advisors, LLC, a private entity established to facilitate securities, advisory, and insurance business; ownership through Imperity Group, LLC as of 05/10/2023; 90% of time spent; Conducted at branch; Investment related. 7. Co-owner, Imperity Insurance Services, LLC, DBA Imperity Insurance & Benefits Consulting; a private entity established to facilitate insurance business; as of 07/06/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 8. Tax preparation and planning, Imperity Group, LLC DBA Imperity Tax; as of 12/10/2023; 10% of time spent during business hours; conducted at branch; Not investment related. 9. Co-owner, Imperity Tax Planning, LLC dba Imperity Tax; tax preparation, consulting and planning services; as of 7/01/2025; Less than 5% of time spent during business hours; Conducted at branch location; Not investment related. 10. Co-owner, Imperity Wealth Alliance, LLC; a private entity established as an RIA; as of 09/29/25; 5% of time spent during business hours; Conducted at branch location; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2006-02-14

Other Names

• Joe William Principe
• Joseph W Principe