AdFi
JE

Joseph E Palermo

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Paramus, NJCRD #1758751Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
20 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 20 states
ArkansasCaliforniaColoradoDelawareFloridaGeorgiaIndianaMassachusettsMissouriNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/1/2002
Series 63
Uniform Securities Agent State Law Examination
Passed 11/17/1989
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 2/8/2006
Series 7
General Securities Representative Examination
Passed 3/17/1990
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/7/1989

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
2/21/2020Paramus, NJ
RBC CAPITAL MARKETS, LLCCurrent
2/21/2020Wyckoff, NJ
UBS FINANCIAL SERVICES INC.
6/10/20103/3/2020Paramus, NJ
MORGAN STANLEY SMITH BARNEY LLC
6/1/20096/21/2010Paramus, NJ
MORGAN STANLEY & CO. INCORPORATED
4/2/20076/1/2009Paramus, NJ
MORGAN STANLEY
1/13/20044/2/2007Paramus, NJ
CITIGROUP GLOBAL MARKETS INC.
8/19/20021/26/2004Paramus, NJ

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph E Palermo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Joseph E Palermo - Financial Advisor in Paramus, NJ | AdvisorFinder