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Detailed Report
MATTHEW THOMAS PALUMBO
MATT THOMAS PALUMBO
CRD#: 5069134
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Investment Adviser
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Previous Broker
ESOTERIC WEALTH PARTNERS LLCCRD#: 168497 3209 S. BROADWAY
STE. 229
EDMOND, OK 73013
Registration History
200620082010201220142016201820202022202420262 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2015 (4 years)IAESOTERIC WEALTH PARTNERS LLC (CRD# 168497)2015 - Present (9 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2007 - 2007 (<1 year)
Disclosure(s)
View By:
1/3/2006
Employment Separation After Allegations
License(s)

State Registrations

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Oklahoma 7/3/2024
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Washington 7/21/2015
Current Registration(s)
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ESOTERIC WEALTH PARTNERS LLC (CRD#:168497)
3209 S. BROADWAY STE. 229, EDMOND, OK 73013
Registered with this firm since 7/21/2015
Previous Registration(s)
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 06/15/2011 - 07/28/2015 LPL FINANCIAL LLC (CRD#:6413) MUKILTEO, WA
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 06/15/2011 - 07/28/2015 LPL FINANCIAL LLC (CRD#:6413) MUKILTEO, WA
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 01/15/2008 - 06/21/2011 WADDELL & REED, INC. (CRD#:866) LYNNWOOD, WA
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 01/14/2008 - 06/21/2011 WADDELL & REED, INC. (CRD#:866) LYNNWOOD, WA
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 02/09/2007 - 12/31/2007 MML INVESTORS SERVICES, INC. (CRD#:10409) SEATTLE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.