Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Robert Galli is a financial advisor with Avantax Advisory Services. Stephen has been in the financial services industry since 1997. He has a wide range of experience in the industry and has held positions at several firms, including Morgan Stanley & Co., Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Salomon Smith Barney Inc. Stephen is a Certified Financial Planner and has a Series 7, Series 3, Series 6, and Series 66. Stephen is licensed to provide investment advice in New Jersey, New York, and Texas.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
02/05/2024 - Present
Avantax Advisory Services (DALLAS TX)
NY
01/07/2014 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (NEW YORK NY)
NY
05/06/2002 - 09/19/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
07/28/1999 - 06/04/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/28/1997 - 06/21/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
08/12/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NJ
08/14/1994 - 05/15/1997
NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)
NA
01/14/1993 - 05/02/1994
COLONIAL INVESTMENT SERVICES
NY
02/12/1992 - 12/04/1992
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BOTH
Issued 01/02/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/13/1997
Series 3 - National Commodity Futures Examination
BC
Issued 02/11/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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