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Alex Gallego

Raymond James & Associates, INC.
31 Years of Experience
Oyster Bay, NY
8 DisclosuresBroker
View SEC Summary
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Alex Gallego is a registered investment advisor at Raymond James & Associates, INC., based in Oyster Bay, NY, with 31 years of industry experience. Alex is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

68 W Main Street, Ste 103, Oyster Bay, NY, 11771

Get directions

History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2014
Settled
Customer Dispute
July 2008
Denied
Customer Dispute
May 2003
Settled
Customer Dispute
August 2002
Settled
Employment Separation After Allegations
January 2002
Customer Dispute
December 2001
Settled
Customer Dispute
July 2001
Denied
Customer Dispute
March 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Alex is the president of Gallego Group Inc, a passive entity established to sign a property lease, dedicating minimal time to it. Alex also volunteers with the USV - Honor Guard at the LI National Cemetery, spending a few hours per week in this role.

Employment History
Current Registrations
Raymond James & Associates, INC.
March 2014 - Present · 12 yrs 7 mos
Raymond James & Associates, INC.Broker
January 2014 - Present · 12 yrs 9 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2007 - January 2014 · 6 yrs 6 mos
Ryan Beck & CO.Broker
September 2002 - July 2007 · 4 yrs 10 mos
Sandgrain Securities, INC.Broker
February 2002 - September 2002 · 7 mos
UBS Painewebber INC.Broker
February 1999 - January 2002 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1996 - February 1999 · 3 yrs
Fsg Securities, INC.Broker
May 1994 - April 1995 · 11 mos
First Lauderdale Securities, INC.Broker
February 1992 - May 1992 · 3 mos
State Registrations27 states
AZCACOCTDCFLGAILINLAMAMDMINCNENHNJNMNVNYOHPASCTNTXVAVirgin Islands
AdvisorBrokerBoth

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.
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