Michael J. Gallugi

GALLUGI WEALTH MANAGEMENT

North Reading, MA 01864

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CRD#: 2673052

Professional summary

Michael John Gallugi is a registered financial advisor currently at GALLUGI WEALTH MANAGEMENT, LLC located in North Reading, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in North Reading, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE 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.

1. MICHAEL J. GALLUGI, CPA; SOLE PROPRIETOR; OFFERING TAX AND ACCOUNTING SERVICES; CONDUCTED FROM BRANCH OFFICE; NON-INVESTMENT RELATED. 2. FIXED INSURANCE SALES AS AGENT AT BRANCH OFFICE; INVESTMENT RELATED. 3. GALLUGI WEALTH MANAGMENT LLC. INVESTMENT RELATED 352 PARK ST N. READING, MA 01864 INVESTMENT ADVISOR OWNER START DATE 10/22/2014 80 HOURS/MONTH. 3 HOURS DURING TRADING OVERSEE INVESTMENT ADVISORY/ASSET MANAGEMENT FOR CLIENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Gallugi'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®

None

Experience

Current

October 22, 2014 - Present

GALLUGI WEALTH MANAGEMENT, LLC

Office #1: 352 Park Street West 206, North Reading, MA 01864

RIA

CRD#: 172748

North Reading, MA

Current

October 24, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 352 Park Street West 206, North Reading, MA 01864

CRD#: 35747

North Reading, MA

Past

March 31, 2014 - October 27, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NORTH READING, MA

Past

January 16, 1996 - October 27, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NORTH READING, MA

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.

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

Connecticut
(2/14/2023)

IAR

Massachusetts
(10/22/2014)

Massachusetts
(10/24/2014)

New Hampshire
(10/24/2014)

IAR

New Hampshire
(11/20/2014)

South Carolina
(10/24/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/15/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GALLUGI WEALTH MANAGEMENT, LLC

CRD#: 172748 / SEC#:

Massachusetts

Registered Investment Advisory firm - (10/22/2014 Approved)

New Hampshire

Registered Investment Advisory firm - (11/20/2014 Approved)

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Contact information

Main Address

352 Park Street West 206, North Reading, MA 01864

Mailing Address

Phone number

(978) 664-9909

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 55,000,000

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.

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Michael J. Gallugi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Gallugi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2014

Series 63

Date: 1/12/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 1/15/1996

FINRA

Current Firm

GALLUGI WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GALLUGI WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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