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Frank Edward Gallo

Gallo Lupo LLC

Kirkland, WA

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Current Employers
Gallo Lupo Llc

Kirkland, WA • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-03-15
  • WA RA
    APPROVED
    Since 2023-03-15

Branch Locations

Kirkland, WA • 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
Ubs Financial Services Inc. Seattle WA 01/1995 03/2020
Gallo Lupo Llc Seattle WA 04/2022 Present
Retired Seattle WA 03/2020 04/2022
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-23
S63 Uniform Securities Agent State Law Examination 1984-03-02
  • S65 Uniform Investment Adviser Law Examination
    1992-01-23
  • S63 Uniform Securities Agent State Law Examination
    1984-03-02

View on SEC IAPD

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