Stephen A. Galletto

Shareholder

Stephen A. Galletto is a Shareholder and member of Stark & Stark’s Investment Management & Securities Practice Group, where he concentrates his practice on counseling financial service entities, including investment advisers, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), insurance brokers/agents, CPA firms and their employees, on regulatory, compliance, liability, and litigation issues.

Prior to joining Stark & Stark, Mr. Galletto gained extensive experience preparing and filing securities registration statements with the Securities Exchange Commission; assisting in the structuring, negotiating, and closing of reverse mergers; and assisting in the structuring of multi-million dollar PIPE financing deals while providing counsel to clients through the closing process.

Bar/Court Admissions

New Jersey
New York

Education

J.D., Seton Hall University School of Law, 2007
B.S., Penn State University, 2002

Thought Leadership

Presenter, Are You Prepared? Cybersecurity Threats and Incident Response Strategies for 2026. NAPFA Spring National Conference. April 7, 2026.
Presenter, Powers of Attorney, Executorship, and RIA Custody Implications: Real Cases and Lessons for RIAs. RIA Compliance and Legal Strategies Conference. December 4, 2025.
Presenter, Compliance Checklist for Success: Third Party Vendor Due Diligence. RIA Compliance and Legal Strategies Conference. December 4, 2025.
Presenter, Navigating M&A for RIAs: Strategies for Growth and Success. RIA Compliance and Legal Strategies Conference. December 4, 2025.
Presenter, Adviser Armor: Detecting and Preventing Financial Exploitation and Mastering Powers of Attorney. RIA Compliance and Legal Strategies Conference. September 24, 2024.
Presenter, Examination Evolution: A Fresh Look at SEC Exam Trends and Insights. RIA Compliance and Legal Strategies Conference. September 24, 2024.
Presenter, Defend, Detect, Prevent: Being Proactive About Cybersecurity, Client Data Protection, and Fraud Prevention. RIA Compliance and Legal Strategies Conference. September 24, 2024.
Presenter, Cybersecurity Pitfalls: New Cybersecurity Rules, Proper Use of AI, and a State of the Industry Surrounding a Spot Bitcoin ETF. RIA Compliance and Legal Strategies Conference. November 9, 2023.
Presenter, State of the RIA Regulatory Landscape. RIA Compliance and Legal Strategies Conference. November 9, 2023.
Presenter, Compliance and Disclosures: Highlighting the Importance of Properly Drafted ADV, Agreements, and Policies. RIA Compliance and Legal Strategies Conference. November 9, 2023.
Presenter, Cybersecurity Pitfalls: Do You Have a Plan in Place? RIA Compliance and Legal Strategies Conference. June 1, 2023.
Presenter, The RIA Workplace, What’s Next? RIA Compliance and Legal Strategies Conference. June 1, 2023.
Presenter, Growth Through Acquisitions: Considerations, Transitions, and Deals. RIA Compliance and Legal Strategies Conference. June 1, 2023.
Presenter, Compliance Battle Plan and Successfully Navigating Your Next Regulatory Exam: Achieving Compliance & Managing Risk. RIA Compliance and
Legal Strategies Conference. June 1, 2023.
Presenter, Form ADV ““ Let’s Get it Done Right. Stark & Stark Webinar. January 13, 2022.
Speaker, Insider Engage Webinar. August 23, 2022.

Publications

Investment Adviser Requirements: Anti-Money Laundering and Suspicious Activity Reports. NJ.com. June 10, 2016.

Professional Organizations

Mercer County Bar Association

Community Organizations

Millhill Foundation, Board Member

Services

Adviser Intelligence Podcast

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Firm Highlights