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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocco? Claim Your ProfileRocco Gallo is a financial advisor with over 30 years of experience in the industry. Rocco is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2004. Rocco's previous employers include First Union Brokerage Services, Inc., Marketing One Securities, Inc., CitiCorp Investment Services, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rocco is licensed to offer securities and investment advisory services in several states, including Arizona, California, Colorado, Connecticut, Florida, Indiana, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Virginia. Rocco is also a Series 7, 9, 10, 63, and 65 licensed professional. Rocco's expertise is in portfolio management for individuals and businesses and financial planning.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NJ
01/05/2004 - Present
Wells Fargo Clearing Services, LLC (SUMMIT NJ)
NC
01/01/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
OR
07/20/1995 - 01/01/1996
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NY
02/22/1994 - 07/19/1995
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
03/11/1992 - 02/10/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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