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Peter B Galligan

DMK ADVISOR GROUP
LUTZ, FL
·CRD# 1873304·37 years experience

Professional Summary

Peter B Galligan, who also goes by Pete Galligan, is a registered financial advisor currently at DMK ADVISOR GROUP, INC. located in Lutz, Florida and CANGURU CAPITAL ADVISORS located in Oceanside, California. Peter is registered as a RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 13 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Pete Galligan

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

37 years in the financial services industry

Current & Past Employments

DMK ADVISOR GROUP, INC.·CRD# 41067
RIA
BD
1. 17961 Hunting Bow Circle Suite 102, Lutz, FL 335582. 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
December 5, 2001 - Present
CANGURU CAPITAL ADVISORS·CRD# 332797
BD
2182 S El Camino Real Suite 203, Oceanside, CA 92054
April 6, 2025 - Present
ATOMIC VAULTS SECURITIES, LLC·CRD# 317194
BD
976 Finch Street, El Cajon, CA 92020
May 26, 2026 - Present
AXIS CAPITAL USA, LLC·CRD# 293368
BD
405 Lexington Avenue Suite 714, New York, NY 10174
July 31, 2026 - Present
OAKWOOD CAPITAL SECURITIES, INC.·CRD# 21000
BD
15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908
August 7, 2026 - Present
THE FORBES SECURITIES GROUP LLC·CRD# 288142
BD
Greenwood Village, CO
September 11, 2017 - August 31, 2018
JANCO PARTNERS, INC.·CRD# 40055
BD
Greenwood Village, CO
September 16, 2011 - August 8, 2013
ALT FUND DISTRIBUTORS LLC·CRD# 146547
BD
Greenwood Village, CO
July 18, 2008 - May 2, 2011
JANCO PARTNERS, INC.·CRD# 40055
BD
Greenwood Village, CO
February 26, 2008 - May 1, 2008
AGILE SECURITIES, INC.·CRD# 39457
BD
Boulder, CO
May 16, 2007 - July 10, 2007
ALPHAMAX DISTRIBUTORS, L.L.C.·CRD# 8258
BD
La Jolla, CA
November 12, 2003 - November 3, 2023
JANCO PARTNERS, INC.·CRD# 40055
BD
Greenwood Village, CO
August 11, 2000 - February 21, 2001
SPENCER EDWARDS, INC.·CRD# 22067
BD
Centennial, CO
December 22, 1999 - February 21, 2003
JANCO PARTNERS, INC.·CRD# 40055
BD
Greenwood Village, CO
February 21, 1996 - September 29, 1997
SPENCER EDWARDS, INC.·CRD# 22067
BD
Centennial, CO
January 29, 1991 - January 6, 1994
FIRST AMERICA EQUITIES CORP.·CRD# 7652
BD
July 31, 1990 - September 13, 1991
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
May 22, 1989 - July 20, 1990

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Current Firm

OC
OAKWOOD CAPITAL SECURITIES, INC.

GARDNER FINANCIAL SERVICES, INC. | OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000 / SEC#: 8-38631
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908

Mailing Address

15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908

Phone Number

(239) 350-0245

Established

Florida since 05/01/2026

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

FINRA licenses (49 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER—
GALLIGAN, PETER BFINOP1873304
KING, BRANDON DOUGLASSENIOR VICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASSENIOR VICE PRESIDENT6343030

Disclosures

Regulatory Event

1

Bond

1

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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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Colorado
(12/5/2001)

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 Mar 1993About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1993About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2023About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Peter B Galligan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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