CG
Christopher J. Gallo
HILLTOP SECURITIES
SAN FRANCISCO, CA 94111
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CRD#: 2278217
CG
Professional summary
Christopher John Gallo is a registered financial advisor currently at HILLTOP SECURITIES INC. located in San Francisco, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Gallo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher John Gallo'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®
NoneExperience
Current
May 13, 2013 - Present
HILLTOP SECURITIES INC.
Office #1: 50 California Street Suite 650, San Francisco, CA 94111RIA
BD
CRD#: 6220
SAN FRANCISCO, CA
Current
May 10, 2013 - Present
HILLTOP SECURITIES INC.
Office #1: 50 California Street Suite 650, San Francisco, CA 94111RIA
BD
CRD#: 6220
SAN FRANCISCO, CA
Past
September 25, 2008 - May 20, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LAS VEGAS, NV
Past
September 25, 2008 - May 20, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LAS VEGAS, NV
Past
May 18, 2004 - October 13, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
LAS VEGAS, NV
Past
May 18, 2004 - October 13, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
LAS VEGAS, NV
Past
April 22, 2003 - May 21, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LAS VEGAS, NV
Past
October 4, 2000 - May 21, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 31, 1997 - October 12, 2000
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
May 11, 1995 - April 25, 1997
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
June 24, 1993 - May 12, 1995
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
BD
CRD#: 16116
Past
October 14, 1992 - May 28, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/6/2013)
IAR
Arizona(2/26/2019)
RR
California(5/10/2013)
IAR
California(5/13/2013)
RR
Colorado(6/9/2022)
IAR
Colorado(6/9/2022)
RR
District of Columbia(5/10/2013)
IAR
District of Columbia(10/30/2013)
RR
Florida(12/1/2020)
IAR
Florida(8/3/2023)
RR
Hawaii(8/1/2016)
RR
Idaho(5/10/2013)
IAR
Idaho(6/23/2023)
RR
Illinois(5/24/2013)
IAR
Illinois(6/23/2023)
RR
Kansas(9/28/2023)
IAR
Kansas(9/28/2023)
RR
Maine(1/29/2025)
RR
Maryland(6/21/2022)
RR
Massachusetts(11/15/2018)
IAR
Massachusetts(3/13/2019)
RR
Nevada(6/25/2013)
IAR
Nevada(7/24/2013)
RR
New Jersey(5/21/2013)
IAR
New Jersey(6/7/2013)
RR
New York(12/16/2021)
RR
Oregon(10/23/2013)
IAR
Oregon(1/26/2023)
RR
Texas(1/29/2015)
RR
Utah(4/9/2014)
RR
Virginia(8/13/2018)
IAR
Virginia(6/2/2023)
RR
Washington(5/10/2013)
RR
Wisconsin(5/10/2013)
IAR
Wisconsin(6/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 953-4000
Established
Delaware since 12/31/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
91
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
