Charles V. Garofalo
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.
Charles V Garofalo, who also goes by Charles V Garofalo, Charles VIncent Garofalo, Chuck Garofalo, Charles Garofalo, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Rutgers University
Bachelor of Science (BS) - Finance
1994
Experience
July 21, 2025 - September 19, 2025
RONALD GELOK & ASSOCIATES, LLC
March 28, 2024 - April 3, 2025
EDWARD JONES
March 28, 2024 - April 3, 2025
EDWARD JONES
September 15, 2022 - March 26, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 25, 2022 - March 26, 2024
FIDELITY BROKERAGE SERVICES LLC
March 4, 2021 - July 21, 2022
PNC WEALTH MANAGEMENT LLC
February 24, 2021 - July 21, 2022
PNC WEALTH MANAGEMENT LLC
December 12, 2018 - February 16, 2021
SANTANDER SECURITIES LLC
November 29, 2018 - February 16, 2021
SANTANDER SECURITIES LLC
April 21, 2015 - April 27, 2018
BNY MELLON SECURITIES CORPORATION
April 20, 2015 - April 27, 2018
BNY MELLON SECURITIES CORPORATION
June 1, 2009 - March 23, 2015
MORGAN STANLEY
June 1, 2009 - March 23, 2015
MORGAN STANLEY
February 9, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 16, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 1998 - December 1, 2006
NYLIFE DISTRIBUTORS LLC
November 21, 1996 - March 12, 1997
A.S. GOLDMEN & CO., INC.
March 25, 1996 - October 21, 1996
MEYERS POLLOCK ROBBINS, INC.
November 23, 1994 - March 4, 1996
A.S. GOLDMEN & CO., INC.
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
RONALD GELOK & ASSOCIATES, LLC
CRD#: 290950 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 291 |
| AUM (Assets Under Management) | $ 66,194,104 |
Red Flags
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