Stephen R. Galli
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY 10111
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CRD#: 1719794
Professional summary
Stephen Robert Galli, CFP®, CPWA®, who also goes by Stephen Rober Galli, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Rober Galli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) WJM ASSOCIATES, INC POSITION: SHAREHOLDER, BOARD MEMBER NATURE: Executive Coaching and Development, Consulting; INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2016 ADDRESS: New York NY 10006, United States DESCRIPTION: Board member, provider of capital 2) FG CUMBERLAND LLC POSITION: OWNER/LANDLORD NATURE: REAL ESTATE INVESTMENTS INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: 0 START DATE: 02/15/2013 ADDRESS: Brooklyn NY 11238, United States DESCRIPTION: IT IS A REAL ESTATE HOLDING COMPANY, I AM THE FOUNDER AND OWNER. IT'S PURPOSE IS FOR REAL ESTATE INVESTING AND MANAGEMENT. 3) Andum, Inc. POSITION: Investor NATURE: Investor in a bridge financing round of this tech startup INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/19/2018 DESCRIPTION: just a capital provider 4) WEALTHSPRING FINANCIAL PARTNERS LLC POSITION: Partner NATURE: My partners and I are forming a new entity for a combined tax and wealth business. This entity will be the "umbrella" entity for new practices that we buy/absorb. My duties at the new entity will be identical to my current duties at Nisivoccia Wealth Advisors LLC - as a full time 1099 financial advisor. Eventually, our "sub-brands" like NWA will become part of the Wealthspring brand - but it will be a gradual process. It is possible at some point in the future that I become an actual employee of Wealthspring Financial - depending on how fast we grow and provide benefits to new employees. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 125 START DATE: 10/01/2021 ADDRESS: Wealthspring Financial Partners, Attn: D. Paumi MBR, Long Valley NJ 07853, DESCRIPTION: As explained above, exactly the same as what I currently do for NWA, except that we will be calling it WFP. 5) WFP REAL ESTATE F1 LLC POSITION: Member NATURE: Real Estate investment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2023 ADDRESS: 45 Rockefeller Plaza, Suite 2000, New York NY 10111, United States DESCRIPTION: Manage property and collect rent 6) NISIVOCCIA LLP POSITION: affiliate NATURE: Nisivoccia LLP (LLP) is the accounting firm that Nisivoccia Wealth Advisors (NWA) is affiliated with. LLP refers NWA clients and, in turn, NWA shares fees with LLP INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2019 ADDRESS: 200 Valley Road, Suite 300, Mt. Arlington NJ 07856, United States DESCRIPTION: I do nothing for LLP. I do interact with LLP partners from time to time when speaking about mutual clients. 7) Rental Property - NC; OWNER; RENTAL REAL ESTATE; NIR; 0; 06/06/2016; Raleigh NC 27617; COLLECTING RENT 8) Galli GST; Trustee; Trustee for family trust.; NIR; 0; 01/10/2017; Demarest NJ 07627; Duties as stated in terms of trust. 9) Nisivoccia Wealth Advisors; Financial Advisor; Providing Financial Planning & Investment advice to clients and performing due dilligence on investments for NWA; NIR; 180; 07/01/2019; 200 Valley Road Mt. Arlington NJ 07856; Providing Financial Planning & Investment advice to clients and performing due dilligence on investments for NWA
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Galli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2016
CPWA®
Start date: 2021-10-25
Expire date: 2023-09-30
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 45 Rockefeller Plaza Suite 2000, New York, NY 10111Office #2: 115 Horseneck Road Suite 201, Montville, NJ 07045RIA
CRD#: 105644
NEW YORK, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 45 Rockefeller Plaza Suite 2000, New York, NY 10111Office #2: 115 Horseneck Road Suite 201, Montville, NJ 07045BD
CRD#: 13572
NEW YORK, NY
Past
August 10, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NEW YORK, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
PARSIPPANY, NJ
Past
January 7, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
NEW YORK, NY
Past
May 6, 2002 - September 19, 2003
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 28, 1999 - June 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 28, 1997 - June 21, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 12, 1997 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
August 14, 1994 - May 15, 1997
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
January 14, 1993 - May 2, 1994
COLONIAL INVESTMENT SERVICES
BD
CRD#: 25929
Past
February 12, 1992 - December 4, 1992
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/5/2025)
RR
Colorado(9/18/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/18/2025)
RR
Maryland(9/18/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Dakota(9/18/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
