Frank M Galan

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-04-08
CA	RA	APPROVED	2025-03-07

Branch Locations

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

Organization	City	State	From	To
J.P. Morgan Securities, Llc	Petaluma	CA	10/2021	11/2024
Jpmorgan Chase Bank, N.A.	Petaluma	CA	10/2021	11/2024
Ford Fairfield	Fairfield	CA	03/2021	09/2021
United States Coast Guard	Washington, D.C.	WA	12/2017	02/2021
Campbell Plumbing	Jacksonville	FL	05/2017	11/2017
Vallencourt Inc	Jacksonville	FL	05/2015	02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Santa Rosa	CA	11/2024	Present
Bank Of America, N.A.	Santa Rosa	CA	01/2025	Present

10/2021 → 11/2024

J.P. Morgan Securities, Llc

Petaluma, CA
10/2021 → 11/2024

Jpmorgan Chase Bank, N.A.

Petaluma, CA
03/2021 → 09/2021

Ford Fairfield

Fairfield, CA
12/2017 → 02/2021

United States Coast Guard

Washington, D.C., WA
05/2017 → 11/2017

Campbell Plumbing

Jacksonville, FL
05/2015 → 02/2017

Vallencourt Inc

Jacksonville, FL
11/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Rosa, CA
01/2025 → Present

Bank Of America, N.A.

Santa Rosa, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-03-06
S63	Uniform Securities Agent State Law Examination	2022-03-07

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