Joseph A. Gallino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Anthony Gallino, CFP®, who also goes by Joseph A Gallino, Joseph Gallino, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 53, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2017 - July 11, 2025
FREEDOM INVESTMENTS, INC.
March 30, 2015 - July 11, 2025
OPPENHEIMER & CO. INC.
September 22, 2006 - March 25, 2015
DEUTSCHE BANK SECURITIES INC.
January 1, 2005 - August 2, 2006
HSBC SECURITIES (USA) INC.
October 18, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 3, 1998 - November 17, 2000
APEX CLEARING CORPORATION
February 17, 1995 - February 3, 1998
FLEET ENTERPRISES, INC.
July 9, 1992 - December 31, 1993
SUNAMERICA SECURITIES, INC.
April 25, 1990 - July 3, 1990
MSI FINANCIAL SERVICES, INC.
December 14, 1989 - April 27, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
December 14, 1989 - January 10, 1992
COREBRIDGE CAPITAL SERVICES, INC.
November 24, 1989 - June 19, 1991
INTEGRATED RESOURCES EQUITY CORPORATION
October 11, 1989 - March 3, 1995
OSAIC WEALTH, INC.
August 9, 1989 - May 17, 1990
REICH & CO., INC.
January 2, 1987 - May 20, 1988
SELIGMAN SECURITIES, INC.
November 12, 1986 - April 25, 1990
UR FINANCIAL, INC.
August 28, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 8, 1984 - July 10, 1985
ROONEY, PACE INC.
November 24, 1982 - July 13, 1984
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 9/3/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FREEDOM INVESTMENTS, INC.
CRD#: 37674 / SEC#: , 8-47883
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPPENHEIMER & CO. INC. | PARENT COMPANY | 249 |
| GIORDANO, PETER JOHN | CEO-PRESIDENT-DIRECTOR | 2921308 |
| LOWENTHAL, ALBERT GRINSFELDER | DIRECTOR | 313519 |
| LOWENTHAL, ROBERT STEVEN | DIRECTOR | 1639913 |
| MATTRELLA, CHRISTIAN GENTILE | SVP & CHIEF FINANCIAL OFFICER | 4088299 |
| MCKIGNEY, BRYAN EDWARD | DIRECTOR | 4293175 |
| MCNAMARA, DENNIS PATRICK | SVP & SECRETARY | 2938486 |
| SANTIAGO, MANUEL ANGEL | VP & CHIEF COMPLIANCE OFFICER | 1987936 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
