With 15 years of experience on the floor of the New York Stock Exchange, Joseph DePalma brings a unique perspective to his role as client relationship manager with Regal Wealth Advisors. Joseph’s first-hand knowledge of the institutional side of the investment process provides his colleagues with valuable insights, and his ability to support advisors help their clients develop a fuller understanding of where their portfolio needs fit within the landscape of the investment market.
Joseph received his BS in business administration with a concentration in marketing from the University at Albany School of Business, State University of New York. He holds Series 7, Series 63 and Series 66 securities licenses, state of New York Life and Health Insurance licenses, and is a former DMM (Designated Market Maker) with the New York Stock Exchange.
Joseph was born and raised in Oceanside, New York, where he continues to reside with his wife, Kimberly, and their two children, Alex and Joseph. He holds a 50-Gross-Ton Master Captain’s License and enjoys spending his time outside of the office on the water, where he can often be found lounging on his boat with a fishing rod in hand.
" My experience working as a specialist on the floor of the New York Stock Exchange has given me a deep understanding of the investment process. I really enjoy providing Regal’s advisors with a perspective not readily available to individual investors. Indeed, my institutional career on the Street serves the financial planning process well and helps us enhance the value we offer to clients during product review and selection.”
Series 7 – General Securities Representative Exam
Series 63 – Uniform Securities Agent State Law Exam
Series 66 - Uniform Combined State Law Exam