Michael J. Gallo
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.
Michael James Gallo was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2003 - August 23, 2004
GUNNALLEN FINANCIAL, INC
February 21, 2003 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
November 15, 2002 - December 20, 2002
BERRY-SHINO SECURITIES, INC.
August 23, 2002 - October 24, 2002
MARATHON CAPITAL MARKETS, LLC
June 21, 2002 - August 30, 2002
SALOMON GREY FINANCIAL CORPORATION
June 25, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
April 5, 1999 - October 13, 1999
MAY, DAVIS GROUP INC.
November 25, 1998 - April 5, 1999
GILFORD SECURITIES INCORPORATED
March 5, 1998 - November 19, 1998
ARJENT LTD.
July 15, 1997 - March 2, 1998
THE BOSTON GROUP
October 3, 1996 - September 29, 1997
BROOKEHILL CAPITAL PARTNERS LIMITED
July 5, 1994 - September 23, 1996
BLUESTONE CAPITAL CORP.
January 6, 1992 - July 14, 1994
LADENBURG THALMANN & CO. INC.
January 29, 1991 - January 10, 1992
BLUESTONE CAPITAL CORP.
February 6, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
January 4, 1988 - January 27, 1990
J. T. MORAN & CO., INC.
October 22, 1985 - January 21, 1988
BLINDER, ROBINSON & CO., INC.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
