GM
Galo R. Medina
CETERA INVESTMENT ADVISERS LLC
LOS ANGELES, CA 90017
Some features on this profile are disabled
CRD#: 7259506
GM
Professional summary
Galo Robert Medina, who also goes by Galo R Medina, Galo Medina, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Galo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Galo has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Galo R Medina | Galo Medina
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.
1) TCU POLICE DEPARTMENT AKA FROGGIE FIVE - O POSITION: supervisor NATURE: Froggie 5-0 is a subdivision of the TCU police department that provides safety escorts at night to the TCU community. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 02/14/2020; ADDRESS: 3025 lubbock ave, fort worth TX 76109, United States DESCRIPTION: I supervise over the program, meaning I am in contact with the police department as the connection to the other supervisors. I train and also supervise over some of the nights while I am in college. This is the extent of my duties. 2) COMPREHENSIVE FINANCIAL SERVICES POSITION: Financial Advisor NATURE: Meet and assist with clients over financial needs. INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 130 START DATE: 06/12/2023 ADDRESS: 801 S Figueroa Suite 1150, Los Angeles CA 90017, United States DESCRIPTION: Meet and assist with clients over financial needs.
CRS (Client Relationship Summary) - RIA
Click below to view Galo Robert Medina's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 801 S. Figueroa St. Suite 1120, Los Angeles, CA 90017RIA
CRD#: 105644
LOS ANGELES, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 801 S. Figueroa St. Suite 1120, Los Angeles, CA 90017BD
CRD#: 13572
Los Angeles, CA
Past
October 25, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Los Angeles, CA
Past
August 10, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Los Angeles, CA
Past
May 31, 2021 - January 6, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kentucky(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/29/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
