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Jeffrey Francis Gallahue

CRD# 1756598·Registered 1994 - 2017
Previously Registered: Being a previously registered professional could mean that Jeffrey 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.

Professional Summary

Jeffrey Francis Gallahue was a registered financial advisor. Jeffrey was a previously registered financial professional and started their career in finance 1994 - 2017. Jeffrey had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

NEWCASTLE DISTRIBUTORS LLC·CRD# 140096
BD
Avon, CT
September 26, 2006 - February 12, 2017
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.·CRD# 13645
BD
Milford, CT
August 27, 2004 - March 27, 2006
DUFF & PHELPS INVESTMENT MANAGEMENT CO.·CRD# 107296
RIA
Canton, MA
June 21, 2002 - June 25, 2002
GOODWIN CAPITAL ADVISERS, INC.·CRD# 108290
RIA
Canton, MA
March 16, 2001 - July 15, 2004
VP DISTRIBUTORS, LLC·CRD# 3036
BD
Hartford, CT
May 13, 1997 - July 16, 2004
INVESCO CAPITAL MARKETS, INC.·CRD# 6939
BD
Houston, TX
January 19, 1994 - April 9, 1997

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Current Firm

ND
NEWCASTLE DISTRIBUTORS LLC

NEWCASTLE DISTRIBUTORS LLC

CRD#: 140096 / SEC#: 8-67277
BD
Terminated by SEC on 08/18/2017

Contact Information

Established

Connecticut since 11/04/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ATKINS, PAUL ANTHONYCEO, COO, CCO8443
MOODY, ARTHUR MONROE IIIFINOPS1075864

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1992About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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