Shawn P. Gallagher

FRISCH FINANCIAL GROUP

Melville, NY 11747

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CRD#: 4821553

Professional summary

Shawn Patrick Gallagher, CFP® is a registered financial advisor currently at FRISCH FINANCIAL GROUP, INC. located in Melville, New York.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Shawn has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Core Areas of Focus

Cash Flow/Budgets/Credit Issues

Retirement Plan Investment Advice

Retirement Planning & Distribution Rules

Question & Answer

What are your service offerings?

Tax Planning

Employee and Employer Plan Ben...

Investment Planning

Comprehensive Financial Planni...

Education Planning

Estate Planning

Insurance Planning

Retirement Planning

Budgeting

What is your minimum asset requirement?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Patrick Gallagher'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

May 19, 2015 - Present

FRISCH FINANCIAL GROUP, INC.

Office #1: 445 Broad Hollow Road Suite 215, Melville, NY 11747

RIA

CRD#: 126524

Melville, NY

Past

March 11, 2014 - March 5, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

MELVILLE, NY

Past

March 6, 2014 - March 5, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

MELVILLE, NY

Past

April 11, 2011 - March 4, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

GARDEN CITY, NY

Past

March 26, 2007 - April 12, 2011

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

GARDEN CITY, NY

Past

December 13, 2004 - May 31, 2006

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

MELVILLE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FRISCH FINANCIAL GROUP, INC.

CRD#: 126524 / SEC#: 801-62300

RIA

Registered Investment Advisory firm - (8/21/2003 Approved)

New York

Registered Investment Advisory firm - (9/13/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(5/19/2015)

IAR

New York
(7/27/2021)

IAR

Texas
(3/22/2017)

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 66

Date: 12/6/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2004

General Securities Representative Examination

Current Firm

FRISCH FINANCIAL GROUP, INC.

CRD#: 126524 / SEC#: 801-62300

RIA

Registered Investment Advisory firm - (8/21/2003 Approved)

New York

Registered Investment Advisory firm - (9/13/2003 Terminated)

PREMIUM

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Contact information

Main Address

445 Broad Hollow Road Suite 215, Melville, NY 11747

Mailing Address

Phone number

(516) 694-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FFG FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,625
AUM (Assets Under Management)	$ 789,658,037

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/31/2025	Cover Page	Report
10/31/2023	Cover Page	Report
04/28/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Shawn P. Gallagher

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Patrick Gallagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRISCH FINANCIAL GROUP, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

E*TRADE SECURITIES LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

LAIDLAW & COMPANY (UK) LTD.

Primary Firm SEC Registration

FRISCH FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2004

SIE

Date: 3/5/2015

Series 7

Date: 9/16/2004

Current Firm

FRISCH FINANCIAL GROUP, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FRISCH FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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