Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Gerard Gallo is a financial advisor with over 30 years of experience in the industry. Currently, Lee is registered with Raymond James & Associates, Inc., providing financial advice to individuals and businesses. Prior to joining Raymond James, Lee has worked with several firms including UBS Paine Webber Inc., Deutsche Bank Securities Inc., and Merrill Lynch.
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.
Please see note in schedule d - miscellaneous
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.
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2
CT
06/14/2021 - Present
Raymond James & Associates, Inc. (Greenwich CT)
CT
04/25/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (GREENWICH CT)
NJ
02/21/2001 - 04/16/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/20/1999 - 03/07/2001
UBS WARBURG LLC (NEW YORK NY)
NY
01/26/1996 - 09/16/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/11/1995 - 10/11/1995
A. R. BARON & CO., INC. (NEW YORK NY)
NY
04/21/1994 - 03/03/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
06/21/1988 - 03/31/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/05/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/06/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/05/1995
Series 24 - General Securities Principal Examination
BC
Issued 05/08/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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