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Joseph Gallo

Chief Compliance Officer at Park Avenue Securities

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Gallo is Chief Compliance Officer of Park Avenue Securities LLC, a New York investment adviser managing $19.6B. Joseph Gallo has a current broker registration and no current investment-adviser registration and has passed the SIE, Series 7TO and Series 24.

Role at Park Avenue Securities

Title on Schedule A
Chief Compliance Officer
Control
Joseph Gallo is a control person of Park Avenue Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Gallo has held the filed role since January 2025.

The firm

Park Avenue Securities LLC
New York, NY

Form ADV filed 8 September 2026

$19.6B AUM82,118 clients2,054 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE, Series 7TO and Series 24 · 2024

Registrations and exams

Broker registration; no current adviser registration. Joseph Gallo has passed 3 qualifying exams.

Examinations

Series 2430 December 2024
Name
General Securities Principal Examination
Series 7TO30 November 2024
Name
General Securities Representative Examination
SIE21 October 2024
Name
Securities Industry Essentials Examination

Individual record

Full name
Joseph Michael Gallo
CRD
3108044
Firm
Park Avenue Securities LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Gallo work?

Joseph Gallo has been Chief Compliance Officer of Park Avenue Securities LLC since January 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 8 September 2026

Does Joseph Gallo have a current investment-adviser registration?

Joseph Gallo has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Gallo passed?

Joseph Gallo has passed 3 licensing exams: the SIE, Series 7TO and Series 24. The earliest, the SIE, was passed in October 2024.

Source: IAPD individual record, checked 17 October 2026

Leadership at Park Avenue Securities

Sources

  1. IAPD individual record, CRD 3108044. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Park Avenue Securities LLC, filed 8 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Gallo or Park Avenue Securities LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.