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GU

Georges L. Ugeux

GALILEO GLOBAL SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1465757
GU

Professional summary

Georges Leopold Ugeux, who also goes by Georges Ugeux, is a registered financial professional currently at GALILEO GLOBAL SECURITIES, LLC located in New York, New York.

Georges is registered as a RR (Registered Representative) and started their career in finance in 2006. Georges has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 62 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Georges Ugeux

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) - BD

Click below to view Georges Leopold Ugeux's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 16, 2006 - Present

GALILEO GLOBAL SECURITIES, LLC

Office #1: Ten Rockefeller Plaza, Suite 1001, New York, NY 10020
BD
CRD#: 140076
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(8/9/2019)
RR
Massachusetts
(4/24/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 4/12/2006
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GG
GALILEO GLOBAL SECURITIES, LLC
GALILEO GLOBAL SECURITIES, LLC

CRD#: 140076 / SEC#: , 8-67275

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1230 Avenue Of The Americas 16f, New York, NY 10020
Mailing Address
1230 Avenue Of The Americas 16f, New York, NY 10020
Phone number
(646) 591-2258
Established
New York since 11/10/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAGES, FRANCOIS ALBERTMANAGING PARTNER & CEO, AML COMPLIANCE OFFICER3199194
DAFFLON, DONGLIN WUSHAREHOLDER - NON VOTING PREFERRED SHARES
MRVALJEVIC, KATARINACHIEF FINANCIAL OFFICER & FINOP
UGEUX, GEORGES LEOPOLDCHIEF COMPLIANCE OFFICER1465757

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

GALILEO GLOBAL SECURITIES, LLC

CRD#: 140076New York, NY 10020

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