Steven J. Gangloff
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.
Steven Joseph Gangloff, who also goes by Steven J Gangloff, Steven Gangloff, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2013 - December 23, 2014
FINANCIAL GUARD, LLC
April 12, 2010 - November 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2010 - November 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2009 - April 6, 2010
UBS FINANCIAL SERVICES INC.
January 15, 2009 - April 6, 2010
UBS FINANCIAL SERVICES INC.
April 8, 2008 - January 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2008 - January 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FINANCIAL GUARD, LLC
CRD#: 156059 / SEC#: 801-78197
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 977,294 |
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.
