GG
Gregory A. Gallo
GARDEN STATE INVESTMENT ADVISORY SERVICES
Red Bank, NJ 07701
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CRD#: 2701176
GG
Professional summary
Gregory A Gallo, who also goes by Greg Gallo, is a registered financial advisor currently at GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC located in Red Bank, New Jersey and GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Gregory has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 86, Series 7 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Gallo
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) THE OPUS GROUP LLC. CO-FOUNDER, SINCE JUNE 2004, DBA ONLY, OPERATES FROM FIRM REGISTERED BRANCH LOCATION. 2)LIFE AND HEALTH SALES, SINCE 2002, 10 HRS/WK. 3) HOBOKENITALIAN FESTIVAL, NJ. NOT INVESTMENT RELATED, NON-PROFIT ORGANIZATION, OFFICER, 5 HRS/WK, NO COMPENSATION. 4) HOWELL TOWNSHIP SOUTHERN LITTLE LEAGUE BOARD OF DIRECTORS, NJ. NOT INVESTMENT RELATED, NON-PROFIT ORGANIZATION, OFFICER, 2 HRS/WK, NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory A 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
February 28, 2007 - Present
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701RIA
CRD#: 133088
Red Bank, NJ
Current
February 20, 2004 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701BD
CRD#: 10083
Red Bank, NJ
Past
September 1, 2001 - March 2, 2004
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
February 14, 1996 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, 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".
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
CRD#: 133088 / SEC#: 801-79500
RIA
Registered Investment Advisory firm - (4/23/2014 Approved)Idaho
Registered Investment Advisory firm - (4/25/2014 Terminated)New Jersey
Registered Investment Advisory firm - (5/1/2014 Terminated)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
Alabama(12/11/2020)
RR
Arizona(12/22/2020)
RR
California(2/20/2004)
RR
Colorado(2/20/2004)
RR
Connecticut(2/20/2004)
RR
Florida(2/20/2004)
RR
Georgia(2/20/2004)
RR
Illinois(2/23/2004)
RR
Indiana(7/27/2020)
RR
Massachusetts(8/28/2018)
RR
Michigan(1/23/2020)
RR
Mississippi(2/20/2004)
RR
Nevada(2/20/2004)
RR
New Jersey(2/20/2004)
IAR
New Jersey(2/28/2007)
RR
New Mexico(8/3/2021)
RR
New York(2/20/2004)
RR
North Carolina(11/15/2020)
RR
Ohio(2/20/2004)
RR
Pennsylvania(2/20/2004)
RR
South Carolina(7/12/2021)
RR
Texas(2/20/2004)
RR
Virginia(1/13/2010)
RR
Wisconsin(2/20/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
CRD#: 133088 / SEC#: 801-79500
RIA
Registered Investment Advisory firm - (4/23/2014 Approved)Idaho
Registered Investment Advisory firm - (4/25/2014 Terminated)New Jersey
Registered Investment Advisory firm - (5/1/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
328 Newman Springs Road, Red Bank, NJ 07701
Mailing Address
Phone number
(732) 280-6886
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,122 |
| AUM (Assets Under Management) | $ 561,548,738 |
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.
