James G. Palumbo

GLOBAL WEALTH

Colorado Springs, CO 80920

Some features on this profile are disabled

CRD#: 2623916

Professional summary

James Gerard Palumbo is a registered financial advisor currently at GLOBAL WEALTH, LLC located in Colorado Springs, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I do a small amount of accounting and tax as an enrolled agent. Provide life and health insurance to some clients (less than $1,000 in commissions per year). I am also an author and publisher of approximately 6 books at present on which I receive some royalties, currently less than $10,000 per year. I serve several non-profit organizations as director or president--all are uncompensated volunteer positions at present.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Palumbo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 29, 2022 - Present

GLOBAL WEALTH, LLC

Office #1: 1755 Telstar 3rd Floor, #300, Colorado Springs, CO 80920

RIA

CRD#: 321775

Colorado Springs, CO

Past

August 10, 2022 - September 7, 2022

GLOBAL WEALTH, LLC

RIA

CRD#: 321775

COLORADO SPRINGS, CO

Past

March 13, 2018 - July 21, 2022

DYNAMIC

RIA

CRD#: 151367

McALLEN, TX

Past

January 8, 2007 - September 12, 2007

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

SOUTH PADRE ISLAND, TX

Past

September 8, 2003 - May 9, 2018

OXFORD ASSET MANAGEMENT, LLC

RIA

CRD#: 114571

MCALLEN, TX

Past

October 1, 2002 - December 31, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

SOUTH PADRE ISLAND, TX

Past

February 29, 2000 - April 2, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

March 6, 1998 - February 17, 2000

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

December 18, 1995 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/30/2022)

IAR

Texas
(9/29/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/1995

General Securities Representative Examination

Current Firm

GLOBAL WEALTH, LLC

GLOBAL WEALTH, LLC | JIMPALUMBO.COM

CRD#: 321775 / SEC#:

Colorado

Registered Investment Advisory firm - (9/30/2022 Approved)

Texas

Registered Investment Advisory firm - (8/5/2022 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1755 Telstar 3rd Floor, #300, Colorado Springs, CO 80920

Mailing Address

Phone number

(866) 566-6639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 14,900,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Tara Seegers

COMMONWEALTH FINANCIAL NETWORK

IAR

Colorado Spring, CO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James G. Palumbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Palumbo's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL WEALTH, LLC

GLOBAL WEALTH, LLC

DYNAMIC

MOMENTUM INDEPENDENT NETWORK INC.

OXFORD ASSET MANAGEMENT, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

VALIC FINANCIAL ADVISORS, INC.

CAPITAL BROKERAGE CORPORATION

AMERICAN GENERAL EQUITY SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1995

Series 7

Date: 12/16/1995

Current Firm

GLOBAL WEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLOBAL WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors