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Detailed Report
DOMINICK PALUMBO
CRD#: 4396377
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1011 STATE ROUTE 35
OCEAN, NJ 07712
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2005 (1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2010 - 2018 (7 years)2 FIRMS2019 - Present (6 years)BFAHNESTOCK & CO. INC. (CRD# 249)2003 - 2003 (<1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2002 - 2003 (<1 year)
License(s)

State Registrations

B
District of Columbia 1/20/2022
B
New York 1/16/2019
B
New Jersey 1/16/2019
B
Virginia 5/10/2022
IA
New Jersey 1/23/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1011 STATE ROUTE 35, OCEAN, NJ 07712
Registered with this firm since 1/23/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1011 STATE ROUTE 35, OCEAN, NJ 07712
Registered with this firm since 1/16/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/15/2010 - 11/01/2018 PNC INVESTMENTS (CRD#:129052) MANASQUAN, NJ
B
 12/15/2010 - 11/01/2018 PNC INVESTMENTS (CRD#:129052) MANASQUAN, NJ
IA
 03/02/2006 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ALLENHURST, NJ
B
 03/02/2006 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ALLENHURST, NJ
IA
 12/03/2004 - 12/20/2005 PNC INVESTMENTS (CRD#:129052) TOMS RIVER, NJ
B
 12/03/2004 - 12/20/2005 PNC INVESTMENTS (CRD#:129052) PITTSBURGH, PA
IA
 04/22/2003 - 05/06/2004 AXA ADVISORS, LLC (CRD#:6627) MANASQUAN, NJ
B
 04/21/2003 - 05/06/2004 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 01/03/2003 - 03/04/2003 FAHNESTOCK & CO. INC. (CRD#:249) NEW YORK, NY
B
 08/30/2002 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.