Alexander Garofalo (CRD# 6172431) is an Investment Advisor Representative working at On Investment Management Co in Los Angeles, CA and has over 3 years of experience in the finance industry.
CRD# 4504995
Jst Investment Consulting
Score
105
CRD# 2753945
Fried Asset Management, Inc.
Score
104
CRD# 4266581
Dash Investments
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| The On Equity Sales Company | Cincinnati, OH | Feb 2015 - Current | 2 |
| 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 |
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
- CA
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Total Assets Under Management832MILLIONS
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Total Number of Accounts6,888ACCOUNTS
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Average Account Value$120,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Other
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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