Laura Lynne Palumbo

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

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

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 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-08-01 → 2013-09-03
  Walnut Street Securities, Inc.
  North Haven, CT
• 1995-01-06 → 2003-08-01
  Nathan & Lewis Securities, Inc.
  New Haven, CT

Other Businesses

(1) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LIFE/ACCIDENT/HEALTH, LTC FROM PRIVATE RESIDENCE FOR 10HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS SINCE 1/1995 (2) NAME OF OTHER BUSINESS: DBA STERLING WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: INSURANCE SALES START DATE: 1/07 POSITION/TITLE/RELATIONSHIP: SALES APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: INSURANCE/ANNUITY SALES (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2020 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES (4) NAME OF OTHER BUSINESS: LAURA PALUMBO ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ART SALES ; START DATE: 10/2020 ; APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: ARTIST ; BRIEF DESCRIPTION OF DUTIES: PAINT PAINTINGS, GIVE THEM TO LOCAL STORE OWNER(S) TO SELL ;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-03
• S63 Uniform Securities Agent State Law Examination
  1994-03-02

Designations

• Chartered Financial Consultant