Ernie F. Galliani

PRP

Houston, TX 77092

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CRD#: 4513281

Professional summary

Ernie Francis Galliani is a registered financial advisor currently at PRP located in Houston, Texas.

Ernie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ernie has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Nova 401(k) Associates, 10777 Northwest Freeway Suite 440, Houston TX 77092 The business is non investment related. Nova is an actuarial and third party administrator for qualified plans. My position is account manager for the defined benefit department. I serve as actuary as well. I started with Nova 401(k) in November of 2009. I work full time 40 hours per week during 9-5.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernie Francis Galliani's 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

February 13, 2020 - Present

PRP

Office #1: 10777 Northwest Freeway Suite 440, Houston, TX 77092

RIA

CRD#: 119137

Houston, TX

Past

April 30, 2002 - December 31, 2019

PRP

RIA

CRD#: 119137

HOUSTON, TX

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

Texas
(2/13/2020)

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 65

Date: 2/22/2002

Uniform Investment Adviser Law Examination

Current Firm

PRP

PROFESSIONAL RETIREMENT PLANNING INC. | PRP | PROFESSIONAL RETIREMENT PLANNING L.P.

CRD#: 119137 / SEC#:

Texas

Registered Investment Advisory firm - (2/13/2020 Approved)

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Contact information

Main Address

10777 Northwest Freeway Suite 440, Houston, TX 77092

Mailing Address

Phone number

(713) 881-9333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 33,737,180

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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