Mark C. Galiette
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.
Mark Christopher Galiette was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 4 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
February 11, 1994 - December 3, 2020
DOWLING & PARTNERS SECURITIES LLC
September 26, 1989 - February 15, 1994
CONNING & COMPANY
February 16, 1988 - August 29, 1989
ADVEST, INC.
October 22, 1986 - May 6, 1988
E. F. HUTTON & COMPANY 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
DOWLING & PARTNERS SECURITIES LLC
CRD#: 24746 / SEC#: , 8-35658
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWLING CORPORATION | 100% OWNER | |
| BYRNE, THOMAS ARTHUR | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE | 1334509 |
| DOWLING, VERONICA ALVAREZ | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | 5166888 |
| HANLEY, JOSEPH PATRICK JR | HEAD TRADER | 3060247 |
| HILBIE, KRISTA ANN | CHIEF COMPLIANCE OFFICER | 1712680 |
| LENT, BRENNA SULLIVAN | MEMBER | 2399560 |
| NIXON, JON ALAN | FINOP | 4710715 |
Red Flags
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