Individual Firm
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JOSEPH JOHN SZAL JR
JOSEPH J SZAL JR, JOSEPH J SZAL, JOSEPH JOHN SZAL
CRD#: 2216245
IA
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TEMPUS WEALTH PLANNING, LLCCRD#: 285349 100 SPECTRUM CENTER DRIVE
SUITE 1070
IRVINE, CA 92618
SUITE 1070
IRVINE, CA 92618
View By:
1/31/2022
Employment Separation After Allegations
2/2/2009
Customer Dispute
Settled
State Registrations
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California 2/14/2022
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Registered with this firm since 2/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/27/2013 - 02/24/2022 | NEWPORT BEACH, CA | |
B | 03/27/2013 - 02/24/2022 | NEWPORT BEACH, CA | |
IA | 03/23/2009 - 03/28/2013 | YARDLEY, PA | |
B | 03/18/2009 - 03/28/2013 | YARDLEY, PA | |
IA | 07/01/2003 - 03/19/2009 | LAWRENCEVILLE, NJ | |
B | 07/01/2003 - 03/19/2009 | LAWRENCEVILLE, NJ | |
IA | 06/05/2002 - 07/01/2003 | PRINCETON, NJ | |
B | 04/10/1992 - 07/01/2003 | NEW YORK, NY |
NEWPORT BEACH, CA
03/27/2013 - 02/24/2022
NEWPORT BEACH, CA
03/27/2013 - 02/24/2022
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.