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Nicholas C. Gallo

Some features on this profile are disabled
CRD#: 5908972
NG

Professional summary

Nicholas C Gallo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nicholas is a previously registered financial professional and started their career in finance in 2011. Prior to being barred, Nicholas had worked at 11 firms, which includes COVA CAPITAL PARTNERS LLC, LEGEND SECURITIES INC., SIXTEEN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, IAA FINANCIAL LLC, PHX FINANCIAL INC., SPARTAN CAPITAL SECURITIES LLC, GLOBAL ARENA CAPITAL CORP, JOHN THOMAS FINANCIAL, WOODSTOCK FINANCIAL GROUP INC., ROCKWELL GLOBAL CAPITAL LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Gallo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 8, 2016 - January 12, 2017

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

May 18, 2015 - March 4, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Syosset, NY
Past

March 13, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
Melville, NY
Past

August 19, 2014 - March 13, 2015

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
Melville, NY
Past

August 8, 2013 - July 7, 2014

IAA FINANCIAL LLC

BD
CRD#: 6578
MELVILLE, NY
Past

July 2, 2013 - August 8, 2013

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

June 21, 2013 - July 2, 2013

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

May 31, 2013 - June 18, 2013

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
MELVILLE, NY
Past

September 18, 2012 - May 29, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

April 27, 2012 - October 17, 2012

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
FARMINGDALE, NY
Past

June 9, 2011 - May 14, 2012

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
PORT JEFFERSON, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/2011
General Securities Representative Examination

Current Firm

CC
COVA CAPITAL PARTNERS LLC
ALERE FINANCIAL | VENTURE CAPITAL CROSS | GREGORY O'CONNOR AND ASSOCIATES, LLC | COVA CAPITAL PARTNERS LLC | BANNOCKBURN PARTNERS, LLC | APEX MILLENNIUM GROUP, LLC

CRD#: 109761 / SEC#: , 8-53105

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
6851 Jericho Tpke Suite 205, Syosset, NY 11791
Mailing Address
6851 Jericho Tpke Suite 205, Syosset, NY 11791
Phone number
(917) 398-3033
Established
New York since 06/15/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AVCO CAPITAL CORP.OWNER
GIBSTEIN, EDWARD TAYLORCHIEF EXECUTIVE OFFICER ("CEO"), HEAD OF INVESTMENT BANKING1197295
STOUBER, RANDYFINOP1104531
WALKER, PATRICK THOMASCCO2107798

Disclosures

Regulatory Event2

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

COVA CAPITAL PARTNERS LLC

CRD#: 109761

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