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Joseph Szal

Tempus Wealth Planning, LLC
33 Years of Experience
Irvine, CA
2 Disclosures
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Joseph Szal is a registered investment advisor at Tempus Wealth Planning, LLC, based in Irvine, CA, with 33 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 5 more. Their firm serves 651 clients with $510M in assets under management.

Tempus Wealth Planning, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
651 clients
Average Client Portfolio
$778K average
Assets Under Management
$506.5M

Fee Structure

Planning is included in investment management (also available separately)

Tempus Wealth Planning offers asset management and comprehensive portfolio management services. The fee for these services will not exceed 2.00% annually. The fee is based on the scope and complexity of the engagement, including the size of your portfolio, the transactions to be made, the time Tempus dedicates, the types of investments held, your investment strategy and objectives, your restrictions, and any other factor that may impact the scope and complexity of the services. Fees are negotiable.

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Location

100 Spectrum Center Drive, Suite 1070, Irvine, CA, 92618

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2022
Customer Dispute
February 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph is a committee member of the RSJ Golf Course Coalition, a non-profit organization, since 2018. He dedicates a few hours per week to this activity, which aims to prevent excessive building on the Rancho San Joaquin Golf course.

Employment History
Current Registrations
Tempus Wealth Planning, LLC
February 2022 - Present · 4 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2013 - February 2022 · 8 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2013 - February 2022 · 8 yrs 11 mos
Janney Montgomery Scott LLC
March 2009 - March 2013 · 4 yrs
Janney Montgomery Scott LLCBroker
March 2009 - March 2013 · 4 yrs
Wachovia Securities, LLC
July 2003 - March 2009 · 5 yrs 8 mos
Wachovia Securities, LLCBroker
July 2003 - March 2009 · 5 yrs 8 mos
Prudential Securities Incorporated
June 2002 - July 2003 · 1 yr 1 mo
Prudential Securities IncorporatedBroker
April 1992 - July 2003 · 11 yrs 3 mos
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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