Frank Gallo is a registered investment advisor at Gallo Lupo LLC, based in Kirkland, WA, with 40 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
1 advisor
IM Fee
Planning only
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Location
Kirkland, WA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Gallo Lupo LLC
March 2023 - Present · 3 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
March 1995 - January 2022 · 26 yrs 10 mos
UBS Financial Services INC.Broker
January 1995 - January 2022 · 27 yrs
Kidder, Peabody & CO. IncorporatedBroker
February 1984 - January 1995 · 10 yrs 11 mos
State Registrations1 state
WA
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.