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Other Names: Tony Palermo
Type: Dual Registration

Anthony Palermo is a financial professional at Princor Financial Services Corporation, a broker-dealer with over 3,750 registered representatives nationwide. Anthony has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Top Answers

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Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Principal Life Insurance Company 4 months, 2 weeks Dec 2013 - Present
Principal Life Insurance Company 8 years, 6 months Jul 1998 - Jan 2007
Princor Financial Services Corporation 25 years, 2 months Feb 1989 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/21/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 10/09/2008
Uniform Securities Agent State Law Examination Series 63 05/02/1991
Investment Company Products/Variable Contracts Representative Examination Series 6 02/06/1991

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees