Joseph B. 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.
Joseph Buckner Galloway, who also goes by Joe Galloway, Joseph B Galloway, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - July 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2014 - July 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2011 - April 1, 2014
MORGAN STANLEY
February 8, 2011 - April 1, 2014
MORGAN STANLEY
September 7, 2007 - January 12, 2011
VALMARK ADVISERS, INC.
August 17, 2007 - January 10, 2011
VALMARK SECURITIES, INC.
June 30, 2000 - August 23, 2007
SYNOVUS SECURITIES, INC.
June 29, 2000 - August 23, 2007
SYNOVUS SECURITIES, INC.
February 22, 1999 - June 21, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 2, 1998 - January 19, 1999
INVEST FINANCIAL CORPORATION
January 2, 1997 - July 8, 1998
DEPOSIT GUARANTY INVESTMENTS, INC.
September 4, 1996 - January 27, 1997
FIDELITY BROKERAGE SERVICES LLC
July 17, 1990 - August 16, 1996
MARQUIS INVESTMENTS, L.L.C.
August 25, 1988 - August 16, 1996
MARQUIS INVESTMENTS, L.L.C.
August 11, 1983 - October 28, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 1983 - October 28, 1985
IDS LIFE INSURANCE COMPANY
August 11, 1983 - October 28, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
