James M. Galiano
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.
James Mitchell Galiano, who also goes by Jim Galiano, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 15 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
January 6, 2012 - December 31, 2012
CONCORDIUS CAPITAL ADVISORS
September 9, 2008 - February 11, 2009
SAMUELS CHASE & CO., INC.
August 14, 2008 - February 9, 2009
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
November 14, 2007 - May 22, 2008
MORGAN PEABODY, INC.
May 10, 2006 - June 1, 2007
WFG ADVISORS, LP
May 10, 2006 - June 1, 2007
WFG INVESTMENTS, INC.
April 26, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
April 26, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
June 16, 2004 - January 6, 2005
ASHTON STEWART & CO., INC.
May 30, 2003 - October 21, 2003
RYAN FINANCIAL, INC.
June 28, 1999 - November 1, 2002
MML DISTRIBUTORS, LLC
November 5, 1996 - April 26, 1999
VOYA FINANCIAL PARTNERS, LLC
September 21, 1995 - August 7, 1996
BISYS SHELF B/D (1), INC.
June 17, 1991 - July 26, 1995
GUARDIAN INVESTOR SERVICES LLC
November 27, 1990 - February 13, 1991
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 9, 1984 - June 22, 1990
ROYAL HUTTON SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CONCORDIUS CAPITAL ADVISORS
CRD#: 142852 / SEC#: 801-67538
Contact information
Red Flags
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