Thomas 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.
Thomas James Gallagher was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2017 - December 2, 2019
TRADITION SECURITIES AND DERIVATIVES LLC
December 2, 2016 - May 1, 2017
R. F. LAFFERTY & CO., INC.
March 15, 2010 - December 2, 2016
TRADITION SECURITIES AND DERIVATIVES LLC
July 22, 2005 - August 18, 2006
REVERE SECURITIES LLC
February 21, 2002 - June 2, 2005
FIRST BROKERS SECURITIES LLC
July 24, 2000 - November 21, 2000
CANTOR FITZGERALD SECURITIES
July 24, 2000 - November 22, 2000
CANTOR FITZGERALD & CO.
July 24, 2000 - November 27, 2000
MINT BROKERS
November 7, 1994 - June 19, 2000
OPPENHEIMER & CO. INC.
May 4, 1993 - November 1, 1994
FIRST BROKERS SECURITIES LLC
July 19, 1990 - April 30, 1993
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 20, 1988 - July 16, 1990
GINTELCO, 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
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269 / SEC#: , 8-43559
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | MEMBER | |
| BACCALA, RAYMOND CHARLES | PRESIDENT | 1000495 |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| GANGI, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2909843 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | 5187937 |
| MARTUSCELLO, MICHAEL HENRY II | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 5359170 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS | 3154976 |
| RICCIARDI, JUDITH ANN | MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER | 1534635 |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 32 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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