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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

DOMINIC FREDO GALATI

Advisor at CHARLES SCHWAB & CO., INC.

Marlton, NJ

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Search this name across graphsid dfx:ria:7395ce74-52f8-b4b0-67a3-699a35ffc758

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 7, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 3, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 3, 2010
First registration: Dec 7, 2010
Dual registered: yes, broker-dealer
Other names: DOMINIC GALATI|DOM GALATI
IAPD individual key: 5854687

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 14, 2022	n/a	yes	Marlton, NJ	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 17, 2013	Sep 7, 2023	no	PHILADELPHIA, PA\|MARLTON, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 17, 2013	Oct 14, 2022	no	PHILADELPHIA, PA\|Marlton, NJ\|OMAHA, NE	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 27, 2011	Sep 3, 2013	no	PENNINGTON, NJ	Previous registration
EDWARD JONES	National bd RIA	Dec 7, 2010	Apr 8, 2011	no	MEDFORD, NJ\|ST LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Mar 14, 2022	-542	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Sep 17, 2013	-3,314	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Sep 3, 2013	Sep 17, 2013	14	Firm change	Other
EDWARD JONES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 8, 2011	Jun 27, 2011	80	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 14, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 17, 2013 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 17, 2013 to Oct 14, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 27, 2011 to Sep 3, 2013factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 7, 2010 to Apr 8, 2011factForm ADV

Dated events

No dated event names this entity yet.