John G. Gallo

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CRD#: 1123477

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.

John Gregory Gallo, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 3, Series 28, Series 24, Series 27, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Alliance Trust Company., investment-related, 100W Liberty St. #100 Reno, NV 89501, Investment Consultant, 09/01/2021, 20 hrs/month, 20 hrs/month during securities trading hours, Consulting Asset Management Services. 3)Modern Capital Advisors, LLC, investment-related, 119 Simmons, Mt. Pleasant, SC 29464, Registered Investment Advisor, Investment Advisor Representative, 08/04/2020, 20 hrs/month, 5 hrs/month during securities trading hours, Conduct research for securities in firm model portfolios. Most research conducted on weekends.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

January 12, 2022 - April 18, 2022

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Boerne, TX

Past

October 6, 2021 - January 14, 2022

DECHEQUE SECURITIES LLC

CRD#: 311020

SALT LAKE CITY, UT

Past

August 4, 2020 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Lakewood, CO

Past

December 26, 2019 - April 18, 2022

MODERN CAPITAL SECURITIES INC.

CRD#: 130876

RALEIGH, NC

Past

April 26, 2019 - September 21, 2020

AENEAS CAPITAL LLC

CRD#: 297864

Boerne, TX

Past

January 31, 2018 - January 28, 2020

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

August 1, 2016 - December 31, 2017

CRD#: 34861

RENO, NV

Past

February 5, 1998 - May 26, 2000

E T D SECURITIES

CRD#: 39799

RENO, NV

Past

July 7, 1988 - August 27, 1997

INVESTORS DISCOUNT BROKERAGE,INC.

CRD#: 14610

Past

July 20, 1987 - June 1, 1988

SNIDER-LUND SECURITIES, INC.

CRD#: 6734

Past

February 27, 1987 - September 21, 1987

CALES INVESTMENTS, INC.

CRD#: 18830

Past

February 13, 1986 - August 27, 1997

INVESTORS DISCOUNT BROKERAGE,INC.

CRD#: 14610

ARLINGTON, TX

Past

January 18, 1985 - August 28, 1986

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

Past

May 26, 1983 - November 16, 1984

SNIDER-LUND SECURITIES, INC.

CRD#: 6734

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/5/1983

Registered Options Principal Examination

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

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Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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.

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Firm Stability Insights

John G. Gallo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DECHEQUE SECURITIES LLC

MODERN CAPITAL ADVISORS, LLC

MODERN CAPITAL SECURITIES INC.

AENEAS CAPITAL LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

MODERN EQUITY SERVICES LLC

LIBERTY CENTRE CAPITAL MANAGEMENT, LLC

TRYON INVESTMENTS, LLC

FINANCIAL QUEST CAPITAL SERVICES, INC.

NAVELLIER SECURITIES CORP.

E T D SECURITIES

INVESTORS DISCOUNT BROKERAGE,INC.

SNIDER-LUND SECURITIES, INC.

CALES INVESTMENTS, INC.

INVESTORS DISCOUNT BROKERAGE,INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

SNIDER-LUND SECURITIES, INC.

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2016

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 12/13/2017

Series 7

Date: 8/1/2016

Series 3

Date: 1/27/1988

Series 28

Date: 5/15/2017

Series 24

Date: 7/1/2016

Series 27

Date: 12/16/1986

Series 53

Date: 5/3/1984

Series 4

Date: 12/5/1983

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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