Joseph Paul Palumbo

Employer firm

Ep Wealth Advisors CRD 111147

$45.1B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars
• RETIREMENT PLAN ADVISORY SERVICES & TAX PREPARATION SERVICES

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

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

Current Employers

Employment History

• 09/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Palos Heights, IL
• 11/2016 → 03/2024
  Rbc Capital Markets, Llc
  La Jolla, CA
• 06/2017 → 03/2024
  City National Bank
  La Jolla, CA
• 03/2024 → Present
  Ep Wealth Advisors, Llc
  San Diego, CA

Previous Registrations

• 2016-11-01 → 2024-04-03
  Rbc Capital Markets, Llc
  Palos Heights, IL
  La Jolla, CA
  Carlsbad, CA
  La Jolla, CA
  Carlsbad, CA
• 2014-01-13 → 2016-11-02
  Wells Fargo Clearing Services, Llc
  Florence, SC
  Palos Heights, IL
  Palos Heights, IL
  Carlsbad, CA
  Pasadena, CA

Other Businesses

(1) KRISTIN'S FUND; ADDRESS: 8855 TIBBITTS RD, NEW HARTFORD NY, 13413; BUSINESS DESCRIPTION: DOMESTIC VIOLENCE AWARENESS; NOT INVESTMENT RELATED; START DATE: 02/01/2017; CAPACITY: OFFICER, BOARD OF DIRECTORS; DUTIES: ADVISORY ROLE; HOURS DEVOTED PER MONTH: 20; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE; (2) NAME OF ENTITY: Palms and Pines Properties LLC ADDRESS: Personal Residence NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Company will purchase and own rental properties CAPACITY: Owner/Active START DATE: 05/01/2021 DUTIES: Choosing properties to acquire, making acquisitions w help of a broker and attorney, maintenance / management of properties, and ultimately when to sell properties. Buy and hold strategy, long term HOURS DEVOTED PER MONTH: 04 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None

Exams

• S66 Uniform Combined State Law Examination
  2014-01-11