Joseph R. Gallardo
Professional summary
Joseph Raymond Gallardo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Joseph had worked at 7 firms, which includes BROKERSXPRESS LLC, INVESTORS CAPITAL CORP., EASTERN POINT ADVISORS INC., QUICK & REILLY INC., ESSEX NATIONAL SECURITIES LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2008 - February 6, 2009
BROKERSXPRESS LLC
November 7, 2008 - February 6, 2009
BROKERSXPRESS LLC
May 10, 2005 - December 2, 2008
INVESTORS CAPITAL CORP.
December 1, 2003 - May 10, 2005
EASTERN POINT ADVISORS INC.
December 1, 2003 - December 2, 2008
INVESTORS CAPITAL CORP.
November 21, 2002 - December 12, 2003
QUICK & REILLY, INC.
September 13, 2001 - December 12, 2003
QUICK & REILLY, INC.
May 31, 2001 - September 25, 2001
ESSEX NATIONAL SECURITIES, LLC
July 3, 2000 - April 5, 2001
IDS LIFE INSURANCE COMPANY
July 3, 2000 - April 5, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
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.
