James J. 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.
James Joseph Gallagher was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 12 firms and has passed the Series 63, 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
March 1, 2018 - May 23, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
June 7, 2017 - January 18, 2018
LEK SECURITIES CORPORATION
January 12, 2017 - June 1, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
April 15, 2015 - October 19, 2015
LPS CAPITAL LLC
February 21, 2014 - July 18, 2014
THE VERTICAL GROUP
December 20, 2010 - August 1, 2012
B. RILEY WEALTH MANAGEMENT
July 14, 2009 - May 10, 2010
CABRERA CAPITAL MARKETS, LLC
August 26, 2008 - August 5, 2009
MAXIM GROUP LLC
May 9, 2006 - July 16, 2008
BGC FINANCIAL, L.P.
July 6, 2004 - August 11, 2005
ABN AMRO INCORPORATED
February 7, 2001 - July 7, 2004
BANC ONE CAPITAL MARKETS, INC.
August 22, 1989 - December 21, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 11, 1987 - March 10, 1988
THE BROKERAGE CORPORATION OF AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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