SG
Sara A. Galvin
RESOURCE 1
Norfolk, VA 23510
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CRD#: 5231759
SG
Professional summary
Sara Alluisi Galvin, who also goes by Sara Marie Alluisi, is a registered financial advisor currently at RESOURCE 1, INC. located in Norfolk, Virginia and CEROS FINANCIAL SERVICES, INC. located in Norfolk, Virginia.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Sara has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sara Marie Alluisi
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.
RESOURCE 1, INC., INVESTMENT RELATED, 101 W MAIN ST., STE 370, NORFOLK, VA 23510; OFFICE MANAGER, RIA, START DATE 06/2019; 160 HRS PER MONTH/130 HRS PER MONTH DURING TRADING HOURS, COMPENSATION SALARY, ADMINISTRATIVE ASSISTANCE, COMPLETE APPLICATIONS, TAX FILINGS, MAINTAIN REGISTERED REP SECURITIES AND INSURANCE LICENSES.
CRS (Client Relationship Summary) - RIA
Click below to view Sara Alluisi Galvin'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
February 22, 2023 - Present
RESOURCE 1, INC.
Office #1: 999 Waterside Dr Suite 435, Norfolk, VA 23510RIA
CRD#: 115816
Norfolk, VA
Current
September 28, 2020 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 999 Waterside Drive, Suite 435, Norfolk, VA 23510BD
CRD#: 37869
Norfolk, VA
Past
March 13, 2009 - April 22, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
VIRGINIA BEACH, VA
Past
February 26, 2007 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
VIRGINIA BEACH, VA
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".
R1
RESOURCE 1, INC.
HOESLY, MICHELLE LOUISE | RESOURCE ONE | RESOURCE 1, INC. | MICHELLE L HOESLY DBA RESOURCE ONE
CRD#: 115816 / SEC#: 801-123616
RIA
Registered Investment Advisory firm - (3/10/2022 Approved)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.RR
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
RR
Virginia(3/11/2021)
IAR
Virginia(2/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R1
RESOURCE 1, INC.
HOESLY, MICHELLE LOUISE | RESOURCE ONE | RESOURCE 1, INC. | MICHELLE L HOESLY DBA RESOURCE ONE
CRD#: 115816 / SEC#: 801-123616
RIA
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Contact information
Main Address
999 Waterside Dr Suite 435, Norfolk, VA 23510
Mailing Address
Phone number
(757) 616-0600
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 120,275,304 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 10/26/2018 |
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.
Company Information
RESOURCE 1, INC.
CRD#: 115816Norfolk, VA 23510TRUST BUT VERIFY
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