Anthony Thomas Gargano
Professional Summary
Anthony Thomas Gargano is a registered financial advisor currently at JOURNEY WEALTH MANAGEMENT located in Cleveland, Ohio. Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Anthony has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Current Firm
FSM WEALTH | JOURNEY WEALTH MANAGEMENT | JOURNEY WEALTH | JOURNEY | FSM WEALTH ADVISORS, LLC
Contact Information
Main Address
22901 Millcreek Blvd. Suite 225, Cleveland, OH 44122Phone Number
(216) 468-1333# of Employees
27SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
879AUM (Assets Under Management)
$1,387,419,659Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/16/2026 | Cover Page | Report |
| 09/18/2025 | Cover Page | Report |
| 10/03/2024 | Cover Page | Report |
| 09/21/2023 | Cover Page | Report |
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
FSM WEALTH | JOURNEY WEALTH MANAGEMENT | JOURNEY WEALTH | JOURNEY | FSM WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(1/29/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Thomas Gargano's CRS (Customer Relationship Summary).
Similar Advisors
KEY INVESTMENT SERVICES LLC
CLEVELAND WEALTH, LLC
COMMONWEALTH FINANCIAL NETWORK