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Fred Gallo

Charles Schwab & Co., Inc.

Albany, NY

CRD 3031325

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-22
  • NY RA
    APPROVED
    Since 2021-04-22

Branch Locations

677 Broadway, Albany, NY 12207-2985 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Albany NY 06/2012 Present
Charles Schwab Bank, Ssb Albany NY 06/2012 Present
Previous Registrations
  • 2007-11-23 → 2012-07-20
    Atlas Private Wealth Management, Llc
    Williamstown, MA
  • 2000-09-07 → 2003-12-11
    Dion Money Management Inc
    Williamstown, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-10-29
S65 Uniform Investment Adviser Law Examination 2007-11-08
S66 Uniform Combined State Law Examination 2004-07-16
  • S63 Uniform Securities Agent State Law Examination
    2012-10-29
  • S65 Uniform Investment Adviser Law Examination
    2007-11-08
  • S66 Uniform Combined State Law Examination
    2004-07-16
Other Names
  • Federico Gallo

View on SEC IAPD

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