Thomas P. Galullo
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Indianapolis, IN 46260
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CRD#: 2535291
Professional summary
Thomas Paul Galullo, CFP®, ChFC®, who also goes by Tom Galullo, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Indianapolis, Indiana and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Indianapolis, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Galullo
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.
1. THOMAS P GALULLO, INDEPENDENT INSURANCE AGENT, 9011 N MERIDIAN ST STE 125, INDIANAPOLIS, IN, 8/09/1995 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 8/MO - 8/TRADING. 2. THOMAS P. GALULLO ENTERPRISES, 8934 PINYON CT, OR 9011 N MERIDIAN ST, STE 125, INDIANAPOLIS, IN, 1/2005 AS OWNER SUPPLEMENTAL SERVICES TO MY INVESTMENT CLIENTS, NIR - 50 HR/YR - 0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 10/04/19. 4. GALULLO ENTERPRISES, 8934 PINYON CT, INDIANAPOLIS, IN, S-CORP OWNER, 01/01/05, NIR, PROCESS PAYROLL ONLY, 1 HR/MO- 1/TRADING HR. 5. NETTWORTH FINANCIAL GROUP, 9011 N. Meridian St, Suite 125, Indianapolis IN 46260, United States, 10/01/2019, Marketing Name, Using a Trade Name/dba, NIR, 20HR/MO - 20/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Paul Galullo'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®
CFP®
Start date: 1999
Experience
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9011 N Meridian St. Ste 125, Indianapolis, IN 46260RIA
CRD#: 134139
Indianapolis, IN
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9011 N Meridian St. Ste 125, Indianapolis, IN 46260BD
CRD#: 39543
Indianapolis, IN
Past
March 9, 2009 - October 10, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
INDIANAPOLIS, IN
Past
March 2, 2009 - October 10, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
INDIANAPOLIS, IN
Past
February 14, 2003 - March 9, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
INDIANAPOLIS, IN
Past
November 18, 2002 - March 9, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
INDIANAPOLIS, IN
Past
October 23, 2000 - November 25, 2002
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
INDIANAPOLIS, IN
Past
January 11, 1999 - September 16, 2010
SBC WEALTH MANAGEMENT
RIA
CRD#: 122433
INDIANAPOLIS, IN
Past
July 26, 1996 - November 25, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 17, 1995 - August 6, 1996
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
October 13, 1994 - July 28, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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(10/4/2019)
RR
California(7/26/2023)
RR
Connecticut(10/4/2019)
RR
Florida(10/4/2019)
RR
Georgia(10/4/2019)
RR
Illinois(10/4/2019)
RR
Indiana(10/4/2019)
IAR
Indiana(10/4/2019)
RR
Kentucky(10/4/2019)
RR
Michigan(10/4/2019)
RR
Nevada(10/4/2019)
RR
Ohio(10/4/2019)
RR
South Carolina(10/4/2019)
RR
Virginia(6/20/2024)
RR
Washington(10/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
