Gabriel S. Gallegos

CEROS FINANCIAL SERVICES

Rockville, MD 20850

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CRD#: 4296378

Professional summary

Gabriel Steven Gallegos, who also goes by Gabe Gallegos, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.

Gabriel is registered as a RR (Registered Representative) and started their career in finance in 2000. Gabriel has worked at 4 firms and has passed the Series 63, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gabe Gallegos

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.

Rocky Mountain Private Wealth Management, LLC; Officer and Owner 2245 Texas Drive, SUITE 300 Sugarland, TX Registered Investment Advisor - 40 hours per week; all during trading hours Investment Related Ceros Financial Services, Inc.; Registered Representative/Mutual Fund Wholesaler 445 Research Blvd., Suite 530, Rockville, MD 10 hours per week-not during trading hours. Investment Related.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriel Steven Gallegos'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

March 5, 2021 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850

CRD#: 37869

Rockville, MD

Past

January 30, 2023 - March 7, 2025

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

RIA

CRD#: 127140

SUGAR LAND, TX

Past

March 1, 2019 - December 16, 2019

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

June 4, 2003 - December 2, 2022

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

RIA

CRD#: 127140

Sugar Land, TX

Past

August 7, 2001 - May 5, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SUGAR LAND, TX

Past

August 7, 2001 - May 5, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 22, 2000 - August 30, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

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

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

Texas
(6/30/2021)

Exams

State Security Law Exam

Series 63

Date: 3/1/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/30/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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

Gabriel S. Gallegos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriel Steven Gallegos's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

CEROS FINANCIAL SERVICES, INC.

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2019

Series 66

Date: 11/30/2000

Series 7

Date: 11/21/2000

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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