Joseph Szal has been an investment adviser representative at Tempus Wealth Planning since February 2022, and is not listed among the firm’s executive officers or direct owners. Joseph Szal holds a Bachelor's degree in Accounting from LaSalle University.
Tempus Wealth Planning, LLC is an Irvine, CA firm with $699M under management, 683 clients and 9 advisers in one office, as of its March 2026 filing.
Joseph Szal is a Financial Advisor and Investment Adviser Representative with Tempus Wealth Planning. He has over 30 years of experience, with past employment as first vice president at Wells Fargo Advisors; Janney, Montgomery Scott; and Merrill Lynch. He specializes in comprehensive investment management primarily focused on retirement planning accumulation and distribution.
Joseph Szal’s longest registration was 8 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013–2022). Before joining Tempus Wealth Planning in 2022, Joseph Szal was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Janney Montgomery Scott LLC.
- Tempus Wealth Planning, LLCCurrent– present · 4 yearsIrvine, CA · Adviser representative · Firm CRD 285349
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 8 yearsNewport Beach, CA · Adviser representative · Firm CRD 7691
- Janney Montgomery Scott LLC– · 4 yearsYardley, PA · Adviser representative · Firm CRD 463
- Wachovia Securities, LLC– · 5 yearsLawrenceville, NJ · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 1 yearPrinceton, NJ · Adviser representative · Firm CRD 7471
Professional designations
Listed by Tempus Wealth Planning
- Chartered Retirement Planning Counselor (CRPC®)
Investment adviser representative registrations
Joseph Szal is registered as an investment adviser representative in California, since February 2022.
- CaliforniaSince 14 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 2 December 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 April 1992 |
| Series 7 | General Securities Representative Examination | 8 April 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph John Szal
- CRD
- 2216245
- Firm
- Tempus Wealth Planning · CRD 285349
- Office
- 100 SPECTRUM CENTER DRIVE, SUITE 1070, Irvine, CA 92618
- Registration
- Investment adviser registration
- In the industry since
- April 1992
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- tempuswp.com
Where does Joseph Szal work?
Joseph Szal is an investment adviser representative registered through Tempus Wealth Planning, LLC since February 2022, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Szal a financial advisor?
Yes. Joseph Szal has a current investment-adviser registration in California, through Tempus Wealth Planning since February 2022.
How many years of experience does Joseph Szal have?
Joseph Szal has 34 years in the financial industry, since April 1992, across 5 adviser firms.
What exams has Joseph Szal passed?
Joseph Szal has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in April 1992. FINRA credited Joseph Szal with the SIE, which began in October 2018.
Where did Joseph Szal work before Tempus Wealth Planning?
Before Tempus Wealth Planning, Joseph Szal was registered through Janney Montgomery Scott LLC, March 2009 to March 2013; Wachovia Securities, LLC, July 2003 to March 2009; Prudential Securities Incorporated, June 2002 to July 2003.
Where is Joseph Szal based?
Joseph Szal’s registered office is in Irvine, CA.
Is Joseph Szal registered with FINRA?
No. Joseph Szal has no current broker registration.
How can I verify Joseph Szal’s record?
Search CRD 2216245 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Szal’s full registration record.
