Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Galo? Claim Your ProfileGalo F. Tapia is a financial professional with over 27 years of experience in the industry. Galo is registered as a Broker/Dealer and Investment Advisor Representative in Arizona and California, with an active professional license in 27 states. Galo is currently employed with Charles Schwab & Co., Inc. He is a Series 63, 65, 7, 9, and 10 licensed representative and passed the SIE exam. His previous role was at Charles Schwab & Co., Inc. from April 1996 to December 2019.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
08/12/2021 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
04/17/1996 - 12/02/2019
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
IA
Issued 7/29/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/9/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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