Stephen Robert Galli

Current Employers

Employment History

• 11/2013 → 10/2019
  1St Global Capital Corp.
  Ny, NY
• 01/2014 → 10/2019
  1St Global Advisors, Inc
  New York, NY
• 07/2019 → Present
  Nisivoccia Wealth Advisors
  Mt. Arlington, NJ
• 09/2017 → 09/2025
  Avantax Insurance Services, Inc.
  New York, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  New York, NY
• 10/2019 → 09/2025
  Avantax Advisory Services
  New York, NY
• 10/2021 → Present
  Wealthspring Financial Partners Llc
  Long Valley, NJ
• 11/2013 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  New York, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Parsippany, NJ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-08-10 → 2025-09-05
  Avantax Advisory Services
  New York, NY
  New York, NY
  Dallas, TX
  Parsippany, NJ

Other Businesses

1) WJM ASSOCIATES, INC POSITION: SHAREHOLDER, BOARD MEMBER NATURE: Executive Coaching and Development, Consulting; INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2016 ADDRESS: New York NY 10006, United States DESCRIPTION: Board member, provider of capital 2) FG CUMBERLAND LLC POSITION: OWNER/LANDLORD NATURE: REAL ESTATE INVESTMENTS INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: 0 START DATE: 02/15/2013 ADDRESS: Brooklyn NY 11238, United States DESCRIPTION: IT IS A REAL ESTATE HOLDING COMPANY, I AM THE FOUNDER AND OWNER. IT'S PURPOSE IS FOR REAL ESTATE INVESTING AND MANAGEMENT. 3) Andum, Inc. POSITION: Investor NATURE: Investor in a bridge financing round of this tech startup INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/19/2018 DESCRIPTION: just a capital provider 4) WEALTHSPRING FINANCIAL PARTNERS LLC POSITION: Partner NATURE: My partners and I are forming a new entity for a combined tax and wealth business. This entity will be the "umbrella" entity for new practices that we buy/absorb. My duties at the new entity will be identical to my current duties at Nisivoccia Wealth Advisors LLC - as a full time 1099 financial advisor. Eventually, our "sub-brands" like NWA will become part of the Wealthspring brand - but it will be a gradual process. It is possible at some point in the future that I become an actual employee of Wealthspring Financial - depending on how fast we grow and provide benefits to new employees. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 125 START DATE: 10/01/2021 ADDRESS: Wealthspring Financial Partners, Attn: D. Paumi MBR, Long Valley NJ 07853, DESCRIPTION: As explained above, exactly the same as what I currently do for NWA, except that we will be calling it WFP. 5) WFP REAL ESTATE F1 LLC POSITION: Member NATURE: Real Estate investment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2023 ADDRESS: 45 Rockefeller Plaza, Suite 2000, New York NY 10111, United States DESCRIPTION: Manage property and collect rent 6) NISIVOCCIA LLP POSITION: affiliate NATURE: Nisivoccia LLP (LLP) is the accounting firm that Nisivoccia Wealth Advisors (NWA) is affiliated with. LLP refers NWA clients and, in turn, NWA shares fees with LLP INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2019 ADDRESS: 200 Valley Road, Suite 300, Mt. Arlington NJ 07856, United States DESCRIPTION: I do nothing for LLP. I do interact with LLP partners from time to time when speaking about mutual clients. 7) Rental Property - NC; OWNER; RENTAL REAL ESTATE; NIR; 0; 06/06/2016; Raleigh NC 27617; COLLECTING RENT 8) Galli GST; Trustee; Trustee for family trust.; NIR; 0; 01/10/2017; Demarest NJ 07627; Duties as stated in terms of trust. 9) Nisivoccia Wealth Advisors; Financial Advisor; Providing Financial Planning & Investment advice to clients and performing due dilligence on investments for NWA; NIR; 180; 07/01/2019; 200 Valley Road Mt. Arlington NJ 07856; Providing Financial Planning & Investment advice to clients and performing due dilligence on investments for NWA

Exams

• S66 Uniform Combined State Law Examination
  2014-01-02
• S63 Uniform Securities Agent State Law Examination
  1992-02-11

Designations

Other Names

• Stephen Rober Galli