James H. Galbreath
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 Howard Galbreath, who also goes by Jim Galbreath, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 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 6, 2019 - July 2, 2020
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
December 15, 2016 - July 2, 2020
NUVEEN SECURITIES, LLC
August 1, 2002 - January 31, 2013
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
July 23, 1985 - June 12, 1987
TRUSTAMERICA SECURITIES COMPANY
February 21, 1985 - September 20, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 121876 / SEC#: 801-61379
Contact information
Red Flags
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