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RG

Ray D. Gallette

Some features on this profile are disabled
CRD#: 3041923
RG

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.

Ray Don Gallette was a registered financial professional .

Ray is a previously registered financial professional and started their career in finance in 1998. Ray had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2013 - January 29, 2020

REALTA EQUITIES, INC.

BD
CRD#: 23769
EL DORADO SPRINGS, MO
Past

June 25, 2010 - September 6, 2012

STERLING ENTERPRISES GROUP, INC.

BD
CRD#: 44915
ST. PETERSBURG, FL
Past

January 27, 2010 - June 25, 2010

RICHFIELD ORION INTERNATIONAL, INC.

BD
CRD#: 24433
EL DORADO SPRINGS, MO
Past

October 7, 2008 - December 31, 2009

OKOBOJI FINANCIAL SERVICES, INC.

BD
CRD#: 33727
OKOBOJI, IA
Past

February 2, 2007 - November 5, 2008

PEAK SECURITIES CORPORATION

BD
CRD#: 107907
EL DORADO SPRINGS, MO
Past

October 31, 2006 - February 2, 2007

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
EL DORADO SPRINGS, MO
Past

February 6, 2001 - November 8, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
EL DORADO SPRINGS, MO
Past

December 6, 2000 - January 26, 2001

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

September 7, 2000 - December 31, 2000

PACKERLAND BROKERAGE SERVICES, INC.

BD
CRD#: 37031
GREEN BAY, WI
Past

July 24, 2000 - August 28, 2000

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

May 14, 1998 - June 26, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1201 N. Orange Street Suite 300, Wilmington, DE 92130
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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.

Company Information

REALTA EQUITIES, INC.

CRD#: 23769

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