Michael J. Galloway

PUBLIC SAFETY FINANCIAL/GALLOWAY

Mesa, AZ 85201

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CRD#: 3001646

Professional summary

Michael Jeffrey Galloway, who also goes by Mike Galloway, is a registered financial advisor currently at PUBLIC SAFETY FINANCIAL/GALLOWAY located in Mesa, Arizona and MODERN WEALTH MANAGEMENT, LLC located in Mesa, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Galloway

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) MCTLR INC . 1138 N. ALMA SCHOOL ROAD, STE. 201 MESA, AZ 85201. BEGAN 1/09 AS PRESIDENT FOR CORP. A FAMILY LLC FOR TAX PURPOSES. 2) GALLOWAY ASSET MANAGEMENT, LLC DBA PUBLIC SAFETY FINANCIAL, RIA, 1138 N. ALMA SCHOOL ROAD, STE. 201 MESA, AZ 85201 6/2006-PRESENT, CEO 3) Public Safety Financial Insurance-1138 N Alma School Rd, Suite 201, Mesa, AZ 85201-Insurance Agency-CEO-2 hrs/mth-2 during trading hrs-Public safety financial insurance dba for Mctlr Inc. agency that will sign agreements with insurance products geared toward primarily public safety.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jeffrey Galloway's CRS (Customer Relationship Summary).

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

July 20, 2006 - Present

PUBLIC SAFETY FINANCIAL/GALLOWAY

Office #1: 1138 N Alma School Rd Suite 201, Mesa, AZ 85201

RIA

CRD#: 141091

Mesa, AZ

Current

August 29, 2025 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 1138 N Alma School Rd, Mesa, AZ 85201

RIA

CRD#: 324624

MESA, AZ

Past

September 2, 2014 - September 2, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Mesa, AZ

Past

June 26, 2008 - December 23, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MESA, AZ

Past

April 17, 2003 - June 27, 2008

CETERA ADVISORS LLC

RIA

CRD#: 10299

MESA, AZ

Past

April 9, 2003 - June 27, 2008

CETERA ADVISORS LLC

CRD#: 10299

MESA, AZ

Past

September 25, 2000 - July 18, 2003

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

MESA, AZ

Past

May 9, 2000 - September 25, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

July 15, 1999 - July 18, 2003

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

April 14, 1998 - June 23, 1999

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

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".

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/20/2006)

IAR

Texas
(2/4/2022)

IAR

Wyoming
(8/30/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/26/1998

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 7

Date: 4/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/10/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/7/2000

General Securities Principal Examination

Current Firm

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

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Contact information

Main Address

13550 W 95th St., Lenexa, KS 66227

Mailing Address

Phone number

(913) 393-1000

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18,823
AUM (Assets Under Management)	$ 6,148,915,787

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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Advisor Monitoring

Firm Stability Insights

Michael J. Galloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jeffrey Galloway's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VOYA FINANCIAL PARTNERS, LLC

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2000

Series 63

Date: 5/26/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2000

Series 6

Date: 4/10/1998

Series 24

Date: 12/7/2000

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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