Caroline Gallagher

GREENWAY WEALTH ADVISORS

CHARLOTTE, NC 28203

CRD#: 7975106

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Professional summary

Caroline Gallagher is a registered financial advisor currently at GREENWAY WEALTH ADVISORS, LLC located in Charlotte, North Carolina.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Caroline has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Caroline Gallagher's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 2, 2026 - Present

GREENWAY WEALTH ADVISORS, LLC

Office #1: 1920 Abbott St. Ste. 300, Charlotte, NC 28203

RIA

CRD#: 290727

CHARLOTTE, NC

Past

September 18, 2024 - May 6, 2026

DFA SECURITIES LLC

CRD#: 10292

CHARLOTTE, NC

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".

GREENWAY WEALTH ADVISORS, LLC

CRD#: 290727 / SEC#: 801-127953

RIA

Registered Investment Advisory firm - (5/11/2023 Approved)

North Carolina

Registered Investment Advisory firm - (6/1/2023 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2023 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/2/2026)

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 65

Date: 6/2/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/16/2024

Securities Industry Essentials Examination

Current Firm

GREENWAY WEALTH ADVISORS, LLC

CRD#: 290727 / SEC#: 801-127953

RIA

Registered Investment Advisory firm - (5/11/2023 Approved)

North Carolina

Registered Investment Advisory firm - (6/1/2023 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2023 Terminated)

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Contact information

Main Address

1920 Abbott St. Ste. 300, Charlotte, NC 28203

Mailing Address

Phone number

(704) 981-1228

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (1/23/2026)

Regulatory assets under management

Total Number of Accounts	1,086
AUM (Assets Under Management)	$ 184,545,281

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.

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Caroline Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Gallagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENWAY WEALTH ADVISORS, LLC

DFA SECURITIES LLC

Primary Firm SEC Registration

GREENWAY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2026

Series 63

Date: 10/4/2024

Series 7TO

Date: 9/18/2024

SIE

Date: 8/16/2024

Current Firm

GREENWAY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENWAY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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