Erik Q. Gallegos
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.
Erik Quinn Gallegos was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1995. Erik had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2003 - December 31, 2007
SPC
November 3, 2003 - December 3, 2024
SIGMA FINANCIAL CORPORATION
May 8, 2002 - November 26, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 24, 2001 - November 26, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 20, 1995 - October 1, 2001
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 8
Date: 1/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
