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Brian P Galloway

Charles Schwab & CO., Inc.

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About Brian P Galloway

Brian Galloway is a financial professional with over 27 years of experience in the financial services industry. Brian is currently registered with Charles Schwab & Co., Inc. Brian holds multiple licenses and registrations, including Series 7, Series 9, Series 63, and Series 7TO. Brian is licensed in 53 states and the District of Columbia. Brian is a specialist in securities and other types of investments.

Firm Information

Brian Galloway is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Brian Galloway’s Registration & Firm History

IN

11/10/2020 - Present

Charles Schwab & CO., Inc. (Indianapolis IN)

TX

12/08/1993 - 04/09/1999

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BC

Issued 12/04/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/30/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/10/2020

Series 7TO - General Securities Representative Examination

BC

Issued 09/30/2020

SIE - Securities Industry Essentials Examination

BC

Issued 08/25/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Brian P Galloway. Review regulatory record here.
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