Jodie C. Galloway
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jodie Chandler Galloway, who also goes by Jodie Galloway, Joe Galloway, was a registered financial professional .
Jodie is a previously registered financial professional and started their career in finance in 1983. Jodie had worked at 4 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2002 - September 13, 2018
THE LEADERS GROUP, INC.
October 26, 1999 - February 5, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 24, 1999 - October 20, 1999
WMA SECURITIES, INC.
April 8, 1983 - August 24, 1999
HORACE MANN INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 1/20/1967
Non-Member General Securities ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
