Michael Galant
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.
Michael Galant, who also goes by Michael Dennis Galant, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 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
September 20, 2016 - December 1, 2024
J.P. MORGAN SECURITIES LLC
June 19, 2014 - September 1, 2016
NYLIFE SECURITIES LLC
January 27, 2014 - June 3, 2014
BRADLEY WOODS & CO. LTD.
January 21, 2011 - January 4, 2012
GLOBAL HUNTER SECURITIES, LLC
November 4, 2005 - January 24, 2011
BREAN CAPITAL, LLC
October 5, 2004 - November 3, 2005
AGC PARTNERS
May 1, 2003 - June 12, 2003
FHN FINANCIAL SECURITIES CORP.
May 1, 2003 - July 1, 2004
FTN EQUITY CAPITAL MARKETS CORP.
March 10, 2003 - April 30, 2003
FHN FINANCIAL SECURITIES CORP.
November 14, 2001 - March 3, 2003
WELLS FARGO SECURITIES, LLC
January 5, 2000 - November 13, 2001
TUCKER ANTHONY INCORPORATED
June 22, 1993 - January 18, 2000
ADVEST, INC.
August 20, 1991 - July 7, 1993
BREAN MURRAY & CO., INC.
January 30, 1990 - July 30, 1990
MUZINICH & CO., INC.
April 11, 1988 - January 16, 1990
RAYMOND JAMES & ASSOCIATES, INC.
February 24, 1987 - March 1, 1988
PERSHING LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 8
Date: 2/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
