Richard C. Galiardo
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.
Richard C Galiardo, who also goes by Richard Clayton Galiardo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2013 - April 24, 2020
ALLIANCEBERNSTEIN L.P.
May 24, 2013 - April 24, 2020
SANFORD C. BERNSTEIN & CO., LLC
August 25, 2010 - April 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2010 - April 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2000 - July 21, 2009
SANFORD C. BERNSTEIN & CO., LLC
July 22, 1993 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
December 19, 1989 - January 4, 1991
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
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
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
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.
