Theo A. Gallier
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.
Theo Alford Gallier was a registered financial professional .
Theo is a previously registered financial professional and started their career in finance in 1987. Theo had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1990 - March 21, 2014
WEALTHSPIRE ADVISORS
December 22, 1987 - April 3, 2001
ASSOCIATED SECURITIES CORP.
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
WEALTHSPIRE ADVISORS
CRD#: 110666 / SEC#: 801-20857
Contact information
Regulatory assets under management
| Total Number of Accounts | 944 |
| AUM (Assets Under Management) | $ 2,819,336,852 |
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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