Perry A. Gallagher
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.
Perry Allen Gallagher Sr., who also goes by Perry A. Gallagher, Perry Gallagher, Perry Allen Lund, was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 1983. Perry had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2013 - October 28, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
January 25, 2012 - December 13, 2013
GBS FINANCIAL CORP.
June 27, 2001 - January 31, 2012
WEDBUSH SECURITIES INC.
April 27, 1990 - July 30, 2001
TRIQUEST FINANCIAL, INC.
December 2, 1988 - May 2, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 14, 1988 - December 23, 1988
LEHMAN BROTHERS INC.
September 12, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
October 19, 1983 - September 26, 1985
MORGAN STANLEY DW 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
