Joseph Principe has been President, COO, Founding Partner of Imperity Wealth Alliance since October 2025, is a control person of the firm and directly owns between 25% and 50% of it. Joseph Principe studied at Hofstra University.
Imperity Wealth Alliance LLC is a Melville, NY firm with $140M under management, 363 clients and 10 advisers across 2 offices, as of its July 2026 filing.
Joseph W. Principe is President, COO & Founding Partner of Imperity. He started a technology consultancy at age 16 and went on to a career in financial services, beginning with a broker-dealer and continuing through more than 15 years of operational and sales leadership of a Fortune 500 firm's New York City-based team.
Joseph Principe’s longest registration is the current one, 3 years at Commonwealth Financial Network since 2023. Before joining Imperity Wealth Alliance in 2026, Joseph Principe was registered through Principal Securities, Inc.
- Imperity Wealth Alliance LLCCurrent– present · under a yearMelville, NY · Adviser representative · Firm CRD 339113
- Commonwealth Financial NetworkAlso current– present · 3 yearsAdviser representative · Firm CRD 8032
- Principal Securities, Inc.– · 1 yearNew York, NY · Adviser representative · Firm CRD 1137
Professional designations
Listed by Imperity Wealth Alliance
- Accredited Investment Fiduciary (AIF®)
Investment adviser representative registrations
Joseph Principe is registered as an investment adviser representative in New York, since May 2023.
- New YorkSince 1 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 16 February 2017 |
| Series 24 | General Securities Principal Examination | 11 October 2007 |
| Series 66 | Uniform Combined State Law Examination | 14 February 2006 |
| Series 7 | General Securities Representative Examination | 7 January 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph William Principe
- CRD
- 5031617
- Firm
- Imperity Wealth Alliance · CRD 339113
- Role
- President, COO, Founding Partner
- Office
- 445 BROADHOLLOW ROAD, SUITE 400, Melville, NY 11747
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- imperityadvisors.com
Where does Joseph Principe work?
Joseph Principe has been President, COO, Founding Partner of Imperity Wealth Alliance LLC since October 2025, and is a control person of the firm.
Is Joseph Principe a financial advisor?
Yes. Joseph Principe has a current investment-adviser registration in New York, through Imperity Wealth Alliance since March 2026.
How many years of experience does Joseph Principe have?
Joseph Principe has 20 years in the financial industry, since January 2006, across 3 adviser firms.
What exams has Joseph Principe passed?
Joseph Principe has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 51. The earliest, the Series 7, was passed in January 2006. FINRA credited Joseph Principe with the SIE, which began in October 2018.
Where did Joseph Principe work before Imperity Wealth Alliance?
Before Imperity Wealth Alliance, Joseph Principe was registered through Principal Securities, Inc., June 2021 to May 2023.
Where is Joseph Principe based?
Joseph Principe’s registered office is in Melville, NY.
Is Joseph Principe registered with FINRA?
Yes. Joseph Principe has a current broker registration, under CRD 5031617.
Source: FINRA BrokerCheck
How can I verify Joseph Principe’s record?
Search CRD 5031617 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Principe’s full registration record.
