Stephen M. Gallo
Professional summary
Stephen M. Gallo is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Woodland Hills, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2014. Stephen has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen M. Gallo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2023 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 21650 Oxnard Avenue Suite 750, Woodland Hills, CA 91367November 7, 2014 - September 22, 2023
PACER FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2023)
(10/9/2023)
(10/9/2023)
Exams
Series 62
Date: 10/24/2014
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
