Alexander Garofalo, financial advisor Los Angeles CA
77 score

Alexander Garofalo

CRD Number: 6172431
Current Firm: On Investment Management Co

Alexander Garofalo (CRD# 6172431) is an Investment Advisor Representative working at On Investment Management Co in Los Angeles, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
The On Equity Sales Company Cincinnati, OH Feb 2015 - Current 1
Ohio National Financial Services Cincinnati, OH Nov 2014 - Current 2
Mml Investors Services LLC Los Angeles, CA Jan 2014 - Feb 2015 1
Massmutual Life Insurance Company Los Angeles, CA Nov 2013 - Feb 2015 1
Northwestern Mutual Investment Services, LLC Los Angeles, CA Oct 2013 - Nov 2013 < 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Apr 2013 - Nov 2013 < 1
Ihatemypic.com Los Angeles, CA Jul 2012 - Jun 2013 < 1
Aflac Van Nuys, CA Nov 2012 - Jan 2013 < 1
Ag Consulting Los Angeles, CA Oct 2011 - Apr 2012 < 1
Ucla Extention - Social Media Los Angeles, CA May 2011 - Aug 2011 < 1
Pepperdine University Malibu, CA Sep 2009 - Feb 2011 1
Keller Williams Beverly Hills, CA Jan 2006 - Jul 2009 3
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Sep 2014
S63 Uniform Securities State Law Examination Mar 2014
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 Alexander J. Garofalo
Phone Number: 855-262-0913
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    832
    MILLIONS
  • Total Number of Accounts
    6,888
    ACCOUNTS
  • Average Account Value
    $120,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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

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BADGES
77

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