Joseph S. Galvano
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.
Joseph Salvatore Galvano, who also goes by Joe Galvano, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - August 19, 2022
TD PRIVATE CLIENT WEALTH LLC
May 15, 2013 - August 19, 2022
TD PRIVATE CLIENT WEALTH LLC
April 14, 2010 - April 18, 2013
TD AMERITRADE, INC.
April 14, 2010 - April 18, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 29, 2010 - April 18, 2013
TD AMERITRADE, INC.
June 9, 2006 - March 12, 2010
EQUITABLE ADVISORS, LLC
December 2, 2005 - May 22, 2006
MATRIX CAPITAL GROUP, INC.
February 3, 1996 - January 29, 2004
CHARLES SCHWAB & CO., INC.
January 9, 1995 - January 1, 1996
DREYFUS INVESTMENT SERVICES COMPANY, LLC
September 18, 1990 - December 2, 1994
MORGAN STANLEY DW INC.
June 21, 1990 - July 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
