DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Joseph A Pallet
Certified Financial Planner
Feed of 09/15/2026
Also filed as Joseph Anthony Pallet
At current firm
1 y
since Jan 23, 2025
In the industry
18 y
since Dec 15, 2007 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Bradenton, Fl
- Principal Securities, Inc. BD affiliatedJul 20, 2024 to Dec 23, 2024 · Tampa, Fl
- Transamerica Retirement Advisors, LLC BD affiliatedApr 27, 2017 to Apr 4, 2023 · St. Petersburg, Fl
- Independent Financial Partners BD affiliatedJun 23, 2016 to Mar 17, 2017 · Miami, Fl
- LPL Financial LLC BD affiliatedDec 21, 2015 to Dec 23, 2016 · Miami, Fl
- Raymond James Financial Services Advisors, Inc BD affiliatedDec 10, 2014 to Nov 24, 2015 · Miami, Fl
- LPL Financial LLC BD affiliatedFeb 25, 2011 to Dec 8, 2014 · Aventura, Fl
- Chase Investment Services Corp. formerFeb 25, 2010 to Feb 16, 2011 · South Miami, Fl
- Msi Financial Services, Inc. formerNov 24, 2008 to Feb 26, 2010 · Coral Gables, Fl
- UBS Financial Services Inc. wirehouseDec 19, 2007 to Oct 31, 2008 · Hallandale Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- Principal Securities, Inc. to LPL Financial LLCleft Dec 23, 2024, registered Jan 23, 2025 (31 days) · Affiliated broker-dealer or bank to another
- Transamerica Retirement Advisors, LLC to Principal Securities, Inc.left Apr 4, 2023, registered Jul 20, 2024 (473 days) · Affiliated broker-dealer or bank to another
- Independent Financial Partners to Transamerica Retirement Advisors, LLCleft Mar 17, 2017, registered Apr 27, 2017 (41 days) · Other
- LPL Financial LLC to Independent Financial Partnersleft Dec 23, 2016, registered Jun 23, 2016 (-183 days) · Other · moved with a team
- Raymond James Financial Services Advisors, Inc to LPL Financial LLCleft Nov 24, 2015, registered Dec 21, 2015 (27 days) · Other
- LPL Financial LLC to Raymond James Financial Services Advisors, Incleft Dec 8, 2014, registered Dec 10, 2014 (2 days) · Other
- Chase Investment Services Corp. to LPL Financial LLCleft Feb 16, 2011, registered Feb 25, 2011 (9 days) · Other
- Msi Financial Services, Inc. to Chase Investment Services Corp.left Feb 26, 2010, registered Feb 25, 2010 (-1 days) · Other
- UBS Financial Services Inc. to Msi Financial Services, Inc.left Oct 31, 2008, registered Nov 24, 2008 (24 days) · Other
Signals
- Joseph A Pallet left Principal Securities, Inc. for Lpl Financial Llc (registered 2025-01-23)Dec 23, 2024 · Advisor changed firm · fact
- Joseph A Pallet left Transamerica Retirement Advisors, Llc for Principal Securities, Inc. (registered 2024-07-20)Apr 4, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address