Paul R. Galietto
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.
Paul Reid Galietto, who also goes by Paul Galietto, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2017 - August 5, 2021
CREDIT SUISSE SECURITIES (USA) LLC
March 17, 2017 - October 24, 2017
BRITEHORN SECURITIES
June 12, 2012 - April 22, 2015
UBS SECURITIES LLC
August 2, 2011 - June 12, 2012
UBS FINANCIAL SERVICES INC.
May 13, 2010 - August 8, 2011
UBS SECURITIES LLC
February 5, 2009 - June 8, 2009
BANC OF AMERICA SECURITIES LLC
July 19, 2002 - June 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2001 - August 8, 2002
FAM DISTRIBUTORS, INC.
March 13, 1989 - March 31, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 1986 - March 27, 1989
MORGAN STANLEY & CO. LLC
August 21, 1985 - December 2, 1986
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 8
Date: 12/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
