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DG

Donald S. Galante

Some features on this profile are disabled
CRD#: 1435598
DG

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.

Donald Scott Galante was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 30, 2013 - October 1, 2014

MPS GLOBAL SECURITIES, LLC

BD
CRD#: 148689
NEW YORK, NY
Past

June 29, 2012 - October 1, 2014

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY
Past

January 12, 2006 - September 10, 2010

MF GLOBAL INC.

BD
CRD#: 6731
LITTLE SILVER, NJ
Past

September 14, 2005 - December 31, 2005

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

January 27, 1999 - September 6, 2005

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

December 17, 1996 - December 2, 1998

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

November 22, 1994 - December 17, 1996

DRESDNER SECURITIES (USA) INC.

BD
CRD#: 1993
NEW YORK, NY
Past

April 12, 1993 - October 26, 1994

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

September 2, 1988 - April 14, 1993

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 2, 1986 - February 26, 1988

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
Past

December 17, 1985 - March 19, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/25/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/1996
General Securities Principal Examination

Current Firm

MG
MPS GLOBAL SECURITIES, LLC
FNY CAPITAL MARKETS, LLC | MPS GLOBAL SECURITIES, LLC

CRD#: 148689 / SEC#: , 8-68054

BD
Terminated by SEC on 11/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/18/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
E D & F MAN HOLDINGS, INC.OWNER
LEVINSON, MATTHEW JASONCHIEF FINANCIAL OFFICER2155115
MCCARTHY, PETER JOHNPRESIDENT & CEO
MULCAHY, BRIAN JAMESCHIEF OPERATING OFFICER4582225
POSNER, BRENT PSENIOR VICE PRESIDENT
REED, ALAN JOHN JR.CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event1

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.

Company Information

MPS GLOBAL SECURITIES, LLC

CRD#: 148689

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