Richard G. Desalvo
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 Gerard Desalvo, who also goes by Rich Desalvo, Richard G Desalvo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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
December 6, 2023 - January 2, 2025
GALLAGHER FIDUCIARY ADVISORS, LLC
November 14, 2018 - May 19, 2023
F3LOGIC, LLC
July 17, 2018 - May 19, 2023
F3 INVESTMENT MANAGEMENT, LLC
October 24, 2017 - June 17, 2019
INDEPENDENT FINANCIAL GROUP, LLC
March 11, 2016 - February 24, 2017
COMPASS SECURITIES CORPORATION
December 19, 2014 - August 9, 2018
RICHARD DESALVO CONSULTING, LLC
January 2, 2014 - March 31, 2014
KISKI SECURITIES LLC
February 28, 2013 - December 31, 2013
TD PRIVATE CLIENT WEALTH LLC
August 13, 2010 - October 15, 2010
NRP FINANCIAL, INC.
August 6, 2010 - October 15, 2010
NRP ADVISORS, INC.
April 2, 2007 - September 4, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 4, 2008
MORGAN STANLEY & CO. LLC
November 20, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
February 3, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
September 19, 1995 - August 4, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 15, 1993 - March 25, 1994
VOYA FINANCIAL PARTNERS, LLC
April 14, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 18, 1990 - April 2, 1991
HIMCO DISTRIBUTION SERVICES COMPANY
July 9, 1985 - December 31, 1989
PFS INVESTMENTS INC.
Primary Firm SEC Registration
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
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
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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