William N. 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.
William Neil Gallagher, who also goes by Doc Gallagher, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1985. William had worked at 8 firms and has passed the Series 63, 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
October 23, 2003 - January 9, 2009
PENSION MANAGEMENT COMPANY
October 21, 1999 - May 7, 2001
WFG INVESTMENTS, INC.
June 5, 1995 - October 13, 1999
NATIONAL SECURITIES CORPORATION
March 16, 1993 - June 5, 1995
G.R. STUART & COMPANY, INC.
November 11, 1992 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
July 24, 1990 - November 16, 1992
FIRST AFFILIATED SECURITIES
May 19, 1987 - July 20, 1990
A. G. EDWARDS & SONS, INC.
October 23, 1985 - May 1, 1987
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
No current employment
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.
