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DB

Douglas V. Barbagallo

SEI INVESTMENTS DISTRIBUTION CO.
Oaks, PA 19456
Some features on this profile are disabled
CRD#: 1879506
DB

Professional summary

Douglas Vincent Barbagallo is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1988. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Vincent Barbagallo'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®
None

Experience

Current

August 30, 2001 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456
BD
CRD#: 10690
Oaks, PA
Past

November 10, 1998 - April 11, 2000

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

September 6, 1996 - May 12, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

May 18, 1991 - July 2, 1996

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

February 14, 1989 - July 27, 1990

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY
Past

October 19, 1988 - January 30, 1989

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Pennsylvania
(8/30/2001)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SEI INVESTMENTS DISTRIBUTION CO.
SEI FINANCIAL SERVICES COMPANY | SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690 / SEC#: , 8-27897

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
One Freedom Valley Drive, Oaks, PA 19456
Phone number
(610) 676-1000
Established
Pennsylvania since 07/20/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SEI INVESTMENTS COMPANYSHAREHOLDER
CAMPISI, JENNIFER HICKMANCHIEF COMPLIANCE OFFICER, ASST SECRETARY5299753
COARY, JOHN PATRICKTREASURER, CFO2551648
CORKERY, HEATHER MAJCZANDIRECTOR6896886
GARCIA, GABRIELDIRECTOR2500963
HUM, ROBERT MDIRECTOR, PRESIDENT, CEO5716140
MCGHIN, JASON MICHAELCOO3119188
MUNCH, JOHN CHARLESSECRETARY, GENERAL COUNSEL4739576

Disclosures

Regulatory Event4

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.

Company Information

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690Oaks, PA 19456

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