Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Gallo is an investment advisor representative with UBS Financial Services Inc., a large financial services firm with offices in Weehawken, New Jersey, and across the country. Christopher has been working in the financial services industry for over 28 years. His previous employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated. Christopher holds Series 7, 9, 10, 63, and 65 securities licenses and is registered in California and Texas. He is also an active advisor or advisory group member for Alante Capital, a venture fund in the raise stage.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
02/04/2016 - Present
UBS Financial Services Inc. (SANTA BARBARA CA)
CA
07/10/1997 - 02/05/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA BARBARA CA)
NY
05/26/1993 - 05/06/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/30/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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