Gustav V. Franco
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.
Gustav Vincent Franco, who also goes by Gus Franco, was a registered financial professional .
Gustav is a previously registered financial professional and started their career in finance in 1992. Gustav had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2004 - December 31, 2022
GALAPAGOS ADVISORS, LLC
January 25, 2002 - July 1, 2004
RTD FINANCIAL ADVISORS INC
July 28, 1997 - November 1, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1995 - July 16, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 28, 1993 - December 31, 1993
WOODBURY FINANCIAL SERVICES, INC.
January 15, 1992 - July 20, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 15, 1992 - July 20, 1992
EQUITABLE ADVISORS, LLC
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
GALAPAGOS ADVISORS, LLC
CRD#: 129490 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 16,000,000 |
Red Flags
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