Denise G. Gallego
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.
Denise Gloria Gallego, who also goes by Denise Gallego, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2001. Denise had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2009 - December 31, 2016
USA ASSET MANAGEMENT, LLC
June 18, 2007 - August 21, 2007
WORLD GROUP SECURITIES, INC.
June 1, 2007 - November 6, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
January 15, 2004 - June 9, 2005
VALIC FINANCIAL ADVISORS, INC.
October 17, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 17, 2001 - June 9, 2005
VALIC FINANCIAL ADVISORS, INC.
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
USA ASSET MANAGEMENT, LLC
CRD#: 130946 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 31,703,026 |
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.
