SG
Steven P. Gallo
KESTRA ADVISORY SERVICES
FAIRFIELD, NJ 07004
Some features on this profile are disabled
CRD#: 2768626
SG
Professional summary
Steven Paul Gallo SR is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fairfield, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Fairfield, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 6 firms and has passed the Series 63, SIE, Series 7 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.
Business Name: 375 Passaic LLC Investment Related: No Address: 375 Passaic Ave Fairfield NJ 07004 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 1/5/2006 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: manage the property, collect rents pay billsBusiness Name: Lloyd and Helen Astmann 2002 Irrev Trust Investment Related: No Address: 652 Beverwyck Place Paramus NJ 07652 Nature of Business: Other Other/None of the Above Trustee Position, Title or Relationship: Other,Trustee Start Date: 3/8/2002 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: TrusteeBusiness Name: US Financial Services,LLC Investment Related: Yes Address: 375 Passaic Ave Fairfield NJ 07004 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Member Start Date: 1/1/2000 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: Client relationship and administrative partnerBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Preferred Pensions, LLC Investment Related: Yes Address: 3 Garret Mountain Plaza, Suite 201 Woodland Park NJ 07424 Nature of Business: Consulting Position, Title or Relationship: Member Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Administration
CRS (Client Relationship Summary) - RIA
Click below to view Steven Paul Gallo SR'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
April 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 375 Passaic Ave, Fairfield, NJ 07004RIA
CRD#: 283330
FAIRFIELD, NJ
Current
June 2, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 375 Passaic Ave, Fairfield, NJ 07004BD
CRD#: 42046
Fairfield, NJ
Past
June 2, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
FAIRFIELD, NJ
Past
March 22, 2006 - July 23, 2010
U.S. FINANCIAL SERVICES, LLC
RIA
CRD#: 119817
FAIRFIELD, NJ
Past
June 3, 2003 - June 11, 2010
NEW ENGLAND SECURITIES
RIA
CRD#: 615
FAIRFIELD, NJ
Past
September 4, 2001 - June 11, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
FAIRFIELD, NJ
Past
April 1, 1997 - September 27, 2001
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 12, 1996 - March 17, 1997
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(6/2/2010)
RR
Colorado(6/11/2019)
RR
Connecticut(7/26/2012)
RR
Delaware(6/2/2010)
RR
Florida(6/2/2010)
RR
Georgia(6/2/2010)
RR
Iowa(8/4/2011)
RR
Maine(9/17/2015)
RR
Maryland(6/2/2010)
RR
Massachusetts(1/22/2015)
RR
Nevada(6/2/2010)
RR
New Hampshire(11/27/2018)
RR
New Jersey(6/2/2010)
IAR
New Jersey(4/26/2016)
RR
New Mexico(8/29/2023)
RR
New York(6/2/2010)
RR
North Carolina(6/2/2010)
RR
Ohio(4/30/2024)
RR
Pennsylvania(6/2/2010)
RR
Rhode Island(9/23/2016)
RR
South Carolina(3/18/2013)
IAR
South Carolina(1/4/2021)
RR
Texas(5/9/2022)
IAR
Texas(7/26/2023)
RR
Virginia(6/2/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
