Joseph A. Turley

Some features on this profile are disabled

CRD#: 6688224

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.

Joseph Alan Turley was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2016. Joseph had worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

May 28, 2021 - October 22, 2024

PUBLIC SAFETY FINANCIAL/GALLOWAY

RIA

CRD#: 141091

MESA, AZ

Past

December 11, 2019 - May 8, 2020

MORGAN STANLEY

CRD#: 149777

GILBERT, AZ

Past

November 12, 2019 - May 8, 2020

MORGAN STANLEY

RIA

CRD#: 149777

GILBERT, AZ

Past

March 13, 2017 - October 9, 2019

PUBLIC SAFETY FINANCIAL/GALLOWAY

RIA

CRD#: 141091

MESA, AZ

Past

August 20, 2016 - November 9, 2016

PFS INVESTMENTS INC.

CRD#: 10111

MESA, AZ

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".

PUBLIC SAFETY FINANCIAL/GALLOWAY

GALLOWAY | THE PRIVATE CLIENT GROUP, LLC | PUBLIC SAFETY FINANCIAL/GALLOWAY | GALLOWAY ASSET MANAGEMENT LLC

CRD#: 141091 / SEC#: 801-68901

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Arizona

Registered Investment Advisory firm - (4/21/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

State Security Law Exam

IAR

Series 66

Date: 1/17/2020

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/18/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/19/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PUBLIC SAFETY FINANCIAL/GALLOWAY

GALLOWAY | THE PRIVATE CLIENT GROUP, LLC | PUBLIC SAFETY FINANCIAL/GALLOWAY | GALLOWAY ASSET MANAGEMENT LLC

CRD#: 141091 / SEC#: 801-68901

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Arizona

Registered Investment Advisory firm - (4/21/2008 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1138 N Alma School Rd Suite 201, Mesa, AZ 85201

Mailing Address

Phone number

(480) 325-8668

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GALLOWAY ASSET MANAGEMENT, LLC (4/7/2025)

Regulatory assets under management

Total Number of Accounts	4,184
AUM (Assets Under Management)	$ 942,235,740

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph A. Turley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

PUBLIC SAFETY FINANCIAL/GALLOWAY

PFS INVESTMENTS INC.

Primary Firm SEC Registration

PUBLIC SAFETY FINANCIAL/GALLOWAY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2020

Series 65

Date: 1/18/2017

Series 63

Date: 9/19/2016

Series 7TO

Date: 12/11/2019

SIE

Date: 11/9/2016

Series 6

Date: 8/19/2016

Current Firm

PUBLIC SAFETY FINANCIAL/GALLOWAY

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PUBLIC SAFETY FINANCIAL/GALLOWAY

TRUST BUT VERIFY

Similar Advisors