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James P Gallo

Charles Schwab & Co., Inc.

Red Bank, NJ

CRD 2226012

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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
TX RA APPROVED_RES 2019-01-02
NJ RA APPROVED 2012-10-03
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • NJ RA
    APPROVED
    Since 2012-10-03

Branch Locations

55 Broad St, Red Bank, NJ 07701 • 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 Bank, Ssb Red Bank NJ 09/2012 Present
Charles Schwab & Co., Inc. Red Bank NJ 09/2012 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-09
S63 Uniform Securities Agent State Law Examination 1996-12-16
  • S66 Uniform Combined State Law Examination
    2011-03-09
  • S63 Uniform Securities Agent State Law Examination
    1996-12-16
Other Names
  • James P Gallo
  • James Peter Gallo

View on SEC IAPD

Nearby Firms

CLEAR WAVE WEALTH MANAGEMENT, LLC
MILLINGTON SECURITIES, LLC
HARTSHORNE GROUP, LLC

Nearby Investors

MATTHEW FRANK WILK
JOSEPH MICHAEL GALLO
Robert Daniel Morgan

Nearby Offices

CLEAR WAVE WEALTH MANAGEMENT, LLC · RED BANK, NJ
MILLINGTON SECURITIES, LLC · RED BANK, NJ
HARTSHORNE GROUP, LLC · RED BANK, NJ

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