CG
Charles J. Galat
1ST FINANCIAL INVESTMENT
South Abington Township, PA 18411-8855
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CRD#: 4633030
CG
Professional summary
Charles James Galat Jr., who also goes by Charles J. Galat, Charles James Galat, Charles Galat Jr., Charles Galat, Charlie J. Galat, Charlie James Galat Jr., Charlie James Galat, Charlie Galat, Chas Galat Jr, Chas Galat, is a registered financial advisor currently at 1ST FINANCIAL INVESTMENT, INC. located in South Abington Township, Pennsylvania.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Charles has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles J. Galat | Charles James Galat | Charles Galat Jr. | Charles Galat | Charlie J. Galat | Charlie James Galat Jr. | Charlie James Galat | Charlie Galat | Chas Galat Jr | Chas Galat
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.
1) Galat & Company, P.C.; Non-Investment Related; South Abington Township, PA; CPA & Accounting Firm; Owner / President. Activity is both during and not during trading hours. 2) Carbondale Nursing and Rehabilitation Center; Non-Investment Related; Carbondale, PA; Shareowner / Secretary / Treasurer / Bookkeeper Activity is both during and not during trading hours. Not involved in the day-to-day operation other than bookkeeping and accounting which is through CPA Practice, Galat & Galat, Co. 3) 1st Financial Investments, Inc.; Investment-Related; Clarks Summit, PA; Independant Advisor 4) Ellen Memorial Health Care; Non-Investment Related; Honesdale, PA; Shareowner & Bookkeeper Activity is both during and not during trading hours. Not involved in the day-to-day operation other than bookkeeping and accounting which is through CPA Practice, Galat & Galat Co. 5) Bonham Nursing & Rehabilitation Center; Non-Investment Related; Stillwater, PA; Shareowner & Bookkeeper Activity is both during and not during trading hours. Not involved in the day-to-day operation other than bookkeeping and accounting which is through CPA Practice, Galat & Galat, Co. 6) Beyond Addition Recovery & Treatment Center; Non-Investment Related; Carbondale, PA; Shareowner & Bookkeeper Activity is both during and not during trading hours. Not involved in the day-to-day operation other than bookkeeping and accounting which is through CPA Practice, Galat & Galat, Co.
CRS (Client Relationship Summary) - RIA
Click below to view Charles James Galat Jr.'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®
NoneExperience
Current
May 24, 2016 - Present
1ST FINANCIAL INVESTMENT, INC.
Office #1: 638 Fairview Road, South Abington Township, PA 18411-8855RIA
CRD#: 283072
South Abington Township, PA
Past
June 30, 2016 - September 19, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Clarks Summit, PA
Past
January 20, 2015 - May 19, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
CLARKS SUMMIT, PA
Past
February 14, 2003 - December 11, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PLAINS, PA
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
Pennsylvania(5/24/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
1F
1ST FINANCIAL INVESTMENT, INC.
1ST FINANCIAL INVESTMENT, INC. | SOCIAL SECURITY CONSULTING SERVICES, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS | COLLEGE PLANNING SERVICES, INC. | BIRIATRIC SOLUTIONS FOR LIFE | 1ST FINANCIAL INVESTMENTS, INC. | 1ST FINANCIAL INVESTMENT, L.P. | 1ST FINANCIAL INVESTMENT, INC. OF PENNSYLVANIA
CRD#: 283072 / SEC#:
Colorado
Registered Investment Advisory firm - (6/10/2022 Approved)Louisiana
Registered Investment Advisory firm - (9/7/2021 Approved)Minnesota
Registered Investment Advisory firm - (6/14/2018 Approved)Pennsylvania
Registered Investment Advisory firm - (5/5/2016 Approved)Texas
Registered Investment Advisory firm - (5/18/2022 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
116 North State Street 1st Floor, Clark's Summit, PA 18411-1056
Mailing Address
Phone number
(570) 585-6100
Established
Firm type
Fiscal year end
# of Employees
8
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 15,411,547 |
Red Flags
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Company Information
1ST FINANCIAL INVESTMENT, INC.
CRD#: 283072South Abington Township, PA 18411-8855TRUST BUT VERIFY
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