Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dante Galgano is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with UBS Financial Services Inc. and holds registrations in several states. Richard has been a financial advisor for several firms including Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, RBC Dain Rauscher Inc., and Tucker Anthony Incorporated. Richard is licensed to provide financial services including financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals.
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
NJ
11/14/2022 - Present
UBS Financial Services Inc. (Wall NJ)
NJ
05/11/2007 - 08/09/2022
WELLS FARGO CLEARING SERVICES, LLC (TOMS RIVER NJ)
NJ
03/09/2002 - 06/12/2007
RBC DAIN RAUSCHER INC. (TOMS RIVER NJ)
MA
07/23/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NC
01/01/1991 - 08/23/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
04/18/1989 - 01/01/1991
BUTCHER & SINGER INC.
IA
Issued 06/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/25/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1989
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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