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Joseph John Szal

Tempus Wealth Planning, LLC

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About Joseph John Szal

Joseph John Szal is an Investment Advisor Representative with Tempus Wealth Planning, LLC, a firm that offers investment advisory services to individuals, businesses, and pension plans. Joseph John Szal has been in the securities industry for over 30 years. He is registered with the state of California as an Investment Advisor Representative and has passed the Series 63, Series 65, Series 7, and SIE exams.

Firm Information

Joseph Szal is currently registered with Tempus Wealth Planning, LLC. Tempus Wealth Planning, LLC is an investment advisor based in Irvine, CA. They provide financial planning and portfolio management services to individuals, high-net-worth individuals, pension and profit-sharing plans, and corporations. The firm has approximately $400.48 million in regulatory assets under management.
Tempus Wealth Planning, LLC

100 SPECTRUM CENTER DRIVE

IRVINE, CA 92618

$400.48M

Assets Under Management

4

Total Clients

10

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Szal’s Registration & Firm History

CA

02/14/2022 - Present

Tempus Wealth Planning, LLC (IRVINE CA)

CA

03/27/2013 - 02/24/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)

PA

03/18/2009 - 03/28/2013

JANNEY MONTGOMERY SCOTT LLC (YARDLEY PA)

NJ

07/01/2003 - 03/19/2009

WACHOVIA SECURITIES, LLC (LAWRENCEVILLE NJ)

NY

04/10/1992 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/02/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/24/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 2 public disclosures for Joseph John Szal. Review regulatory record here.
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