James E. 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 Edward Gallagher JR, who also goes by Jim Gallagher, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 4 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 26, 2009 - October 28, 2020
ANDERSON LENEAVE & CO.
September 13, 2007 - January 7, 2009
HERITAGE CAPITAL GROUP, INC.
November 19, 2003 - August 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 11, 2001 - August 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 2, 1995 - May 12, 1999
BNP PARIBAS PRIME BROKERAGE, INC.
August 4, 1993 - August 11, 1995
BANC OF AMERICA SECURITIES LLC
January 22, 1986 - August 4, 1993
BANC OF AMERICA INVESTMENT SERVICES, 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
ANDERSON LENEAVE & CO.
CRD#: 104101 / SEC#: , 8-52584
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
