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Theresa Gallo

Northwestern Mutual Investment Services, LLC

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About Theresa Gallo

Theresa Gallo is a financial advisor with over 20 years of experience in the industry. Theresa is currently registered with Northwestern Mutual Investment Services, LLC and has a branch office location in Florham Park, NJ. Previously, Theresa worked for AFFINITY INVESTMENT SERVICES, LLC in Basking Ridge, NJ and XCU CAPITAL CORPORATION, INC. in Raleigh, NC. Theresa holds Series 7, 10, 9, 24, 63, and 66 licenses, along with the SIE license. Theresa is registered to provide investment advisory services in 51 states and the District of Columbia.

Firm Information

Theresa Gallo is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Theresa Gallo’s Registration & Firm History

NJ

08/25/2006 - Present

Northwestern Mutual Investment Services, LLC (Florham Park NJ)

NJ

01/22/2002 - 09/20/2005

AFFINITY INVESTMENT SERVICES, LLC (BASKING RIDGE NJ)

NC

11/14/2000 - 12/31/2001

XCU CAPITAL CORPORATION, INC. (RALEIGH NC)

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Licenses & Designations

BOTH

Issued 08/23/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/09/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/02/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/11/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/02/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Theresa Gallo.
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