Mindy Gallina has been an investment adviser representative at William Joseph Capital Management since August 2022, and is not listed among the firm’s executive officers or direct owners.
William Joseph Capital Management, Inc. is a Bristol, CT firm with $694M under management, 1,879 clients and 27 advisers across 28 offices, as of its March 2026 filing.
Mindy Gallina is Investment Advisor Representative at William Joseph Capital Management, where she helps individuals, families and small business owners with financial decisions. Her work focuses on retirement planning, with particular experience in retirement income and Social Security strategies. She has also served as Client Service Manager at WJCMLLC, where she led the client service team, and began her career at an accounting firm serving women-owned businesses.
- – present · 4 yearsHampstead, NC · Adviser representative · Firm CRD 226535
Professional designations
Listed by William Joseph Capital Management
- National Social Security Advisor (NSSA®)
Investment adviser representative registrations
Mindy Gallina is registered as an investment adviser representative in North Carolina, since August 2022.
- North CarolinaSince 12 August 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 5 July 2022 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Mindy Nicole Gallina
- CRD
- 7603562
- Firm
- William Joseph Capital Management · CRD 226535
- Office
- Hampstead, NC
- Registration
- Investment adviser registration
- In the industry since
- August 2022
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- williamjosephcapital.com
Where does Mindy Gallina work?
Mindy Gallina is an investment adviser representative registered through William Joseph Capital Management, Inc. since August 2022, and is not listed among the firm’s executive officers or direct owners.
Is Mindy Gallina a financial advisor?
Yes. Mindy Gallina has a current investment-adviser registration in North Carolina, through William Joseph Capital Management since August 2022.
How many years of experience does Mindy Gallina have?
Mindy Gallina has 4 years in the financial industry, since August 2022, across 1 adviser firm.
What exams has Mindy Gallina passed?
Mindy Gallina passed the Series 65 in July 2022.
Where is Mindy Gallina based?
Mindy Gallina’s registered office is in Hampstead, NC.
Is Mindy Gallina registered with FINRA?
No. Mindy Gallina has no current broker registration.
How can I verify Mindy Gallina’s record?
Search CRD 7603562 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mindy Gallina’s full registration record.
