Dennis Frank Palumbo

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2018-03-27
TX	RA	APPROVED_RES	2016-05-06
NC	RA	APPROVED	2006-06-12

CO RA
APPROVED

Since 2018-03-27
TX RA
APPROVED_RES

Since 2016-05-06
NC RA
APPROVED

Since 2006-06-12

Branch Locations

Lakewood, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Lakewood	CO	06/2006	Present
Western Wealth Advisors	Lakewood	CO	11/2015	11/2019

06/2006 → Present

Lpl Financial, Llc

Lakewood, CO
11/2015 → 11/2019

Western Wealth Advisors

Lakewood, CO

Previous Registrations

2004-02-20 → 2006-06-13

Raymond James Financial Services, Inc.

New Bern, NC

New Bern, NC

Other Businesses

1. 06/07/2006 * Dennis F. Palumbo, CPA, PA * CPA/Bookkeeper/Tax Preparer * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * TIME SPENT 40% 2. 06/21/2011 * Dennis F. Palumbo, CPA, PA * Tax Prep/Accounting/CPA * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * TIME SPENT 33%

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-02-12
S65	Uniform Investment Adviser Law Examination	2003-10-07

S63 Uniform Securities Agent State Law Examination

2004-02-12
S65 Uniform Investment Adviser Law Examination

2003-10-07

Other Names

Dennis F Palumbo

View on SEC IAPD