Geoffrey S. 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.
Geoffrey Stephen Gallo, who also goes by Geoff Gallo, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1987. Geoffrey had worked at 7 firms and has passed the Series 65, Series 63, 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 22, 2010 - December 19, 2012
GRANT WILLIAMS L.P.
March 6, 2008 - December 10, 2008
BSG&L FINANCIAL SERVICES, LLC
January 15, 2008 - December 19, 2012
GRANT WILLIAMS L.P.
June 11, 2007 - August 23, 2007
MSI FINANCIAL SERVICES, INC.
April 26, 2007 - August 23, 2007
MSI FINANCIAL SERVICES, INC.
July 24, 2001 - April 25, 2007
NEW ENGLAND SECURITIES
July 24, 2001 - April 25, 2007
NEW ENGLAND SECURITIES
May 27, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 27, 1998 - July 17, 2001
EQUITABLE ADVISORS, LLC
August 12, 1991 - May 13, 1994
NYLIFE SECURITIES LLC
October 20, 1987 - December 1, 1990
NYLIFE SECURITIES 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
Current Firm
GRANT WILLIAMS L.P.
CRD#: 45961 / SEC#: , 8-51249
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PORTFOLIO SOLUTIONS LLC | SHAREHOLDER | |
| GRANT, STEVEN TAYLOR | PRESIDENT, CEO, CCO, CFO | 826826 |
| GRW, INC. | GENERAL PARTNER |
Disclosures
| Regulatory Event | 2 |
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.
