Dean W. Galvin
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.
Dean William Galvin, who also goes by Dean Galvin, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1989. Dean had worked at 5 firms and has passed the Series 65, Series 63, Series 2, Series 7, Series 10, Series 9, Series 4 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
August 20, 2010 - November 16, 2017
DEAN GALVIN IA, DEAN GALVIN OR DEAN
July 10, 2000 - October 9, 2001
CHARLES SCHWAB & CO., INC.
May 11, 1999 - November 24, 1999
CHARLES SCHWAB & CO., INC.
July 19, 1996 - February 11, 1999
MORGAN STANLEY DEAN WITTER ONLINE INC.
July 19, 1995 - June 17, 1996
ACUMENT SECURITIES, INC.
December 20, 1993 - July 13, 1995
CHARLES SCHWAB & CO., INC.
October 25, 1989 - November 11, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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 2
Date: 4/12/1995
Non-Member General Securities ExaminationCurrent Firm
DEAN GALVIN IA, DEAN GALVIN OR DEAN
CRD#: 152849 / SEC#:
Contact information
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.
