Sergio Gallego, financial advisor Chula Vista CA
78 score

Sergio Gallego

CRD Number: 5987787
Current Firm: Berthel Fisher & Company Financial Services, Inc.

Sergio Gallego (CRD# 5987787) is an Investment Advisor Representative working at Berthel Fisher & Company Financial Services, Inc. in Chula Vista, CA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Berthel Fisher & Company Financial Services, Inc. San Diego, CA Jun 2013 - Current 3
Wells Fargo Advisors, LLC Chula Vista, CA Oct 2011 - Jun 2013 1
N/a Unemployed Chula Vista, CA May 2010 - Oct 2011 1
San Diego National Bank San Diego, CA Feb 2002 - May 2010 8
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Sergio H. Gallego
Phone Number: 319-447-5700
Firm Website: http://www.berthel.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    765
    MILLIONS
  • Total Number of Accounts
    5,670
    ACCOUNTS
  • Average Account Value
    $134,832
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
78

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