Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Palumbo is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Brett has been in the securities industry since 2004. Brett has a total of 21 active state registrations across the US. Brett has a Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7. Brett is a registered representative in New Jersey and Texas. Brett was previously registered with Morgan Stanley Smith Barney, Ladenburg Thalmann & Co. Inc., Maxim Group LLC and Jefferies & Company, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
06/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NJ
05/14/2010 - 08/23/2010
MORGAN STANLEY SMITH BARNEY (RED BANK NJ)
NY
08/05/2009 - 03/31/2010
LADENBURG THALMANN & CO. INC. (NEW YORK NY)
NY
07/30/2007 - 08/26/2009
MAXIM GROUP LLC (NEW YORK NY)
NY
10/22/2003 - 06/29/2007
JEFFERIES & COMPANY, INC. (NEW YORK NY)
BOTH
Issued 06/10/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/21/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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