Daniel K. 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.
Daniel Keith Gallagher, who also goes by Dan Gallagher, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1987. Daniel had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 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
July 5, 2012 - November 9, 2012
PRUCO SECURITIES, LLC.
June 12, 2012 - November 9, 2012
PRUCO SECURITIES, LLC.
January 18, 2011 - December 31, 2011
REGAL INVESTMENT ADVISORS LLC
January 6, 2011 - December 31, 2011
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 20, 2007 - November 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 2007 - November 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 6, 2007 - December 31, 2007
!ACTIVE! INTERMEDIATION, INC.
June 12, 2002 - April 21, 2006
SYNDICATED CAPITAL, INC.
September 14, 1989 - May 30, 2002
SECURITIES AMERICA, INC.
August 21, 1989 - September 13, 1989
GUARDIAN INVESTOR SERVICES LLC
May 26, 1989 - August 23, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 28, 1987 - April 3, 1989
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 1987 - April 3, 1989
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
