Individual Firm
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RICHARD ALLEN GALLOS JR
RICK GALLOS
CRD#: 2262444
IA
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WELLS FARGO ADVISORSCRD#: 19616 6000 FAIRVIEW RD STE 800
CHARLOTTE, NC 28210
CHARLOTTE, NC 28210
0
Disclosures
31
Years of Experience
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State Registrations
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California 2/20/2009
IA
New York 7/27/2021
B
Colorado 2/20/2009
B
North Carolina 8/18/2020
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Connecticut 2/20/2009
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North Carolina 8/24/2020
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Connecticut 9/4/2009
B
Pennsylvania 2/20/2009
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Florida 2/20/2009
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Rhode Island 2/20/2009
B
Illinois 1/9/2025
B
South Carolina 8/10/2012
B
Kansas 11/20/2015
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Tennessee 11/21/2018
B
Maine 3/4/2025
B
Texas 1/8/2021
B
Maryland 2/20/2009
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Texas 1/13/2021
B
New Jersey 2/20/2009
B
Vermont 2/20/2009
B
New Mexico 2/20/2009
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Virginia 2/20/2009
B
New York 2/20/2009
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Washington 2/20/2009
SRO Registrations
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Registered with this firm since 9/4/2009
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Registered with this firm since 2/20/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/12/2001 - 02/23/2009 | NEW YORK, NY | |
B | 12/22/1993 - 02/23/2009 | NEW YORK, NY | |
B | 08/10/1992 - 03/18/1993 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.