SERGIO HUMBERTO GALLEGO is currently employed as a Broker and/or Investment Adviser at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located at 1395 Hidden Springs PL, Chula Vista, CA, 91915.
SERGIO HUMBERTO GALLEGO has worked at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. since June 03, 2013
Disclosure History
SERGIO HUMBERTO GALLEGO has 1 Disclosure Event(s).
Date: July 25, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THE COMPROMISE IS DUE TO A JOB LOSS AND SUBSEQUENT 18 MONTH PERIOD OF UNEMPLOYMENT WHERE ALL OF THE REPRESENTATIVE'S SAVINGS, BOTH RETIREMENT AND TAXABLE, WERE EXHAUSTED AND HE WAS UNABLE TO KEEP UP WITH HIS CREDIT OBLIGATIONS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for SERGIO HUMBERTO GALLEGO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.