Dudley M. 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.
Dudley Michael Gallagher JR, who also goes by Dudley M Gallagher, Dudley Michael Gallagher, Mike Gallagher, was a registered financial professional .
Dudley is a previously registered financial professional and started their career in finance in 1984. Dudley had worked at 5 firms and has passed the Series 65, Series 63 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
March 17, 2014 - June 2, 2014
NATIONAL SECURITIES CORPORATION
February 3, 2005 - March 19, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 19, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1992 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1991 - December 24, 1991
CAPITAL ONE INVESTMENTS, LLC
February 24, 1984 - February 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
