Nicholas R Galletta

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2012 → Present
  Prudential Insurance Company Of America
  Riverhead, NY
• 09/2012 → 11/2024
  Pruco Securities, Llc.
  Riverhead, NY
• 05/2009 → Present
  Clare Rose Inc.
  Yaphank, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  Southampton, NY

Previous Registrations

• 2020-11-16 → 2024-11-14
  Pruco Securities, Llc.
  Melville, NY
  Hauppauge, NY
  Riverhead, NY
  Riverhead, NY
  Melville, NY
  Southampton, NY

Other Businesses

1. 12/04/2024 - Twin Forks Networking Group - Non-Profit Board Member - Manorville, NY - NOT INV REL - Start Date 10/01/2020 - 4hrs/mth 2. 11/14/2024 - RG Property Management - Real Estate Rental - Manorville, NY - INV REL - Start Date 07/01/2024 - 2hrs/mth 3. 12/03/2024 - RG Wealth Management Group - DBA for LPL Business (entity for LPL business) - Saint James, NY - INV REL - Start Date 07/11/2016 - 80hrs/mth | 40hrs during trading 4. 12/03/2024 - Health Insurance Business - Non-Variable Insurance Commission Trails - Manorville, NY - INV REL - Start Date 12/12/2012 - 0hrs/mth 5. 11/14/2024 - Galletta Consulting - Business Entity For Tax/Investment Purposes Only - Manorville, NY - NOT INV REL - Start Date 07/16/2016 - 4hrs/mth 6. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-02-05
• S63 Uniform Securities Agent State Law Examination
  2012-11-05