Michael A. Galasso
Professional summary
Michael Anthony Galasso JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Michael had worked at 9 firms, which includes ALL-TECH DIRECT INC., FIRST LIBERTY INVESTMENT GROUP INC., MEYERS POLLOCK ROBBINS INC., MONITOR INVESTMENT GROUP INC., ICAPITAL MARKETS LLC, FLEET BROKERAGE SECURITIES INC., INVESTEX SECURITIES GROUP INC., DREYFUS BROKERAGE SERVICES INC., BERNARD HEROLD & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - June 26, 1998
ALL-TECH DIRECT, INC.
October 21, 1996 - December 13, 1996
FIRST LIBERTY INVESTMENT GROUP, INC.
July 26, 1996 - October 30, 1996
MEYERS POLLOCK ROBBINS, INC.
January 6, 1995 - July 30, 1996
MONITOR INVESTMENT GROUP, INC.
March 22, 1994 - November 17, 1994
ICAPITAL MARKETS LLC
November 12, 1993 - November 23, 1993
FLEET BROKERAGE SECURITIES, INC.
February 11, 1993 - August 13, 1993
INVESTEX SECURITIES GROUP, INC.
February 24, 1992 - January 4, 1993
DREYFUS BROKERAGE SERVICES, INC.
March 8, 1990 - November 19, 1991
BERNARD HEROLD & 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
ALL-TECH DIRECT, INC.
CRD#: 13992 / SEC#: , 8-26336
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSHMORE FINANCIAL SERVICES | SHAREHOLDER | |
| HOUTKIN, HARVEY IRA | MSRP | 251066 |
| HOUTKIN, HARVEY IRA | CHAIRMAN OF BOARD /CEO/SECY | 251066 |
| LEFKOWITZ, HARRY MARTIN | DIRECTOR | 1454925 |
| LERNER, LINDA | CHIEF LEGAL OFFICER | 2350733 |
| MARGA, STEPHEN JOHN JR | SROP/CROP | 2276644 |
| OGELE, FRANKLIN IHENDU | CHIEF COMPLIANCE OFFICER/FIN OP | 2197820 |
| SHEFTS, MARK DAVID | PRESIDENT/DIRECTOR | 709147 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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