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David Matthew Palumbo
DAVID MATTHEW PALUMBO, David Palumbo
CRD#: 5100832
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2007 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2020 - 2020 (<1 year)2 FIRMS2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2008 - 2019 (11 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2019 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2011 - 2018 (7 years)
License(s)

State Registrations

B
Alabama 11/16/2023

B
Nebraska 11/16/2023

B
Alaska 11/16/2023

B
Nevada 11/16/2023

B
Arizona 11/16/2023

B
New Hampshire 11/16/2023

B
Arkansas 11/16/2023

B
New Jersey 11/16/2023

B
California 11/16/2023

B
New Mexico 11/16/2023

B
Colorado 11/16/2023

B
New York 11/16/2023

B
Connecticut 11/16/2023

B
North Carolina 11/16/2023

B
Delaware 11/16/2023

B
North Dakota 11/16/2023

B
District of Columbia 11/16/2023

B
Ohio 3/16/2020

B
Florida 11/16/2023

IA
Ohio 3/16/2020

B
Georgia 11/16/2023

B
Oklahoma 11/16/2023

B
Hawaii 11/16/2023

B
Oregon 11/16/2023

B
Idaho 11/16/2023

B
Pennsylvania 11/16/2023

B
Illinois 10/25/2023

B
Puerto Rico 11/16/2023

IA
Illinois 10/27/2023

B
Rhode Island 11/16/2023

B
Indiana 11/16/2023

B
South Carolina 11/16/2023

B
Iowa 11/16/2023

B
South Dakota 11/16/2023

B
Kansas 11/16/2023

B
Tennessee 11/16/2023

B
Kentucky 11/16/2023

B
Texas 11/16/2023

B
Louisiana 11/16/2023

IA
Texas 11/29/2023

B
Maine 11/16/2023

B
Utah 11/16/2023

B
Maryland 11/16/2023

B
Vermont 11/16/2023

B
Massachusetts 11/16/2023

B
Virgin Islands 11/16/2023

B
Michigan 11/16/2023

B
Virginia 11/16/2023

B
Minnesota 11/16/2023

B
Washington 11/16/2023

B
Mississippi 11/16/2023

B
West Virginia 11/16/2023

B
Missouri 11/16/2023

B
Wisconsin 11/16/2023

B
Montana 11/16/2023

B
Wyoming 11/16/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 3/16/2020

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 3/16/2020

Previous Registration(s)
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IA
01/29/2020 - 02/04/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) MEDINA, OH
B
01/29/2020 - 02/04/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) MEDINA, OH
IA
02/26/2019 - 05/06/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Fairlawn, OH
B
02/26/2019 - 05/06/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Fairlawn, OH
IA
07/13/2018 - 02/21/2019 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
01/24/2008 - 02/20/2019 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) ROCHESTER, NY
IA
06/20/2011 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) ROCHESTER, NY
IA
10/31/2007 - 11/08/2007 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) EUCLID, OH
B
10/30/2007 - 11/08/2007 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) EUCLID, OH
IA
05/05/2006 - 10/18/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAYFIELD HEIGHTS, OH
B
05/02/2006 - 10/18/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAYFIELD HEIGHTS, OH
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B
Broker
IA
Investment Adviser
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.