Anthony P. Gallo
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.
Anthony Paul Gallo, who also goes by Anthony Gallo, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 79, Series 87, Series 86, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2018 - February 7, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 24, 2009 - June 15, 2018
WELLS FARGO SECURITIES, LLC
July 1, 2003 - October 24, 2005
WELLS FARGO SECURITIES, LLC
April 3, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 7, 1999 - April 7, 2000
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 7, 1999
DB ALEX. BROWN LLC
May 13, 1994 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
September 14, 1992 - May 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| 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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