Keith E. Galli
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.
Keith Emeric Galli was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1967. Keith had worked at 8 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2008 - May 31, 2013
GARDEN STATE SECURITIES, INC.
June 17, 2003 - May 14, 2008
J.P. TURNER & COMPANY, L.L.C.
September 24, 1990 - March 26, 2003
A. G. EDWARDS & SONS, INC.
December 18, 1984 - September 17, 1990
UBS FINANCIAL SERVICES INC.
February 2, 1977 - November 30, 1984
INVEMED ASSOCIATES LLC
September 6, 1973 - February 21, 1977
J.P. MORGAN SECURITIES LLC
February 1, 1972 - September 20, 1973
RITER PYNE KENDELL & HOLLISTER INC
April 6, 1967 - March 1, 1972
FILOR, BULLARD & SMYTH
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
PC
Date: 1/31/1996
AMEX Put and Call ExamSeries 1
Date: 7/8/1960
Registered Representative ExaminationCurrent Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
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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