FacultyFaculty/Author Profile
Joseph M. Gallo

Joseph M. Gallo

Lincoln Financial Network
Senior Counsel, AVP
Philadelphia, PA, USA


Joseph Gallo is Assistant Vice President and Senior Counsel of Lincoln Financial Network - Lincoln’s affiliated retail wealth management and distribution channel (LFN).  In this role, Mr. Gallo is responsible for providing strategic legal advice, support and counseling to the compliance team and senior management within LFN.  He also oversees the legal and compliance aspects of LFN’s investment advisory platform, program and services offered and sponsored by LFN. 

Prior to joining Lincoln, Mr. Gallo served in a variety of industry roles, most recently as an Executive Director for Morgan Stanley Wealth Management, where he provided legal and regulatory counsel to the retail advisory wealth management business in the U.S.  Prior to Morgan Stanley, Mr. Gallo was Senior Counsel at SEI Investments, where he provided leadership and direction on a broad range of matters for SEI’s asset management and institutional investment advisory business. During law school, Mr. Gallo was a law clerk with the U.S. Securities and Exchange Commission’s Division of Investment Management and also with the U.S. Department of Labor’s Employee Benefits Security Administration, where he conducted formal civil and criminal investigations of employee benefit plans and their fiduciaries.

Mr. Gallo received his undergraduate degree in history from the Pennsylvania State University and his law degree from the Catholic University of America – Columbus School of Law.

Joseph M. Gallo is associated with the following items:
Web Segment  Web Segment SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
MP3 Audio  MP3 Audio SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Transcripts  Transcripts SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017, New York, NY
Live Seminar  Live Seminar Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Live Webcast  Live Webcast Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.