Arthur Gallo has been an investment adviser representative at Lombard Advisers since June 2019, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
- – present · 7 yearsYork, PA · Adviser representative · Firm CRD 108231
Investment adviser representative registrations
Arthur Gallo is registered as an investment adviser representative in Pennsylvania, since June 2019.
- PennsylvaniaSince 11 June 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 June 2019 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 March 2019 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 11 March 2019 |
| SIE | Securities Industry Essentials Examination | 8 February 2019 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Arthur Graig Gallo
- CRD
- 6999665
- Firm
- Lombard Advisers · CRD 108231
- Office
- 1938 Security Drive, York, PA 17402
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2019
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Arthur Gallo work?
Arthur Gallo is an investment adviser representative registered through Lombard Advisers Incorporated since June 2019, and is not listed among the firm’s executive officers or direct owners.
Is Arthur Gallo a financial advisor?
Yes. Arthur Gallo has a current investment-adviser registration in Pennsylvania, through Lombard Advisers since June 2019.
How many years of experience does Arthur Gallo have?
Arthur Gallo has 7 years in the financial industry, since March 2019, across 1 adviser firm.
What exams has Arthur Gallo passed?
Arthur Gallo has passed 4 licensing exams: the SIE, Series 6TO, Series 63 and Series 65. The earliest, the SIE, was passed in February 2019.
Where is Arthur Gallo based?
Arthur Gallo’s registered office is in York, PA.
Is Arthur Gallo registered with FINRA?
Yes. Arthur Gallo has a current broker registration, under CRD 6999665.
Source: FINRA BrokerCheck
How can I verify Arthur Gallo’s record?
Search CRD 6999665 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Arthur Gallo’s full registration record.