Charles G. Galligan
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.
Charles Gerard Galligan was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1988. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, 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
July 22, 2014 - June 10, 2015
COWEN EXECUTION SERVICES LLC
March 26, 2012 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
March 1, 2012 - July 7, 2014
CANACCORD GENUITY LLC
September 8, 2008 - December 9, 2011
PIPER SANDLER & CO.
April 15, 1999 - March 15, 2004
INSTITUTIONAL DIRECT INC.
August 23, 1991 - August 21, 2008
J.P. MORGAN SECURITIES LLC
October 19, 1988 - August 22, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 55
Date: 9/28/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 5/28/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COWEN EXECUTION SERVICES LLC
CRD#: 35693 / SEC#: 801-67167, 8-46838
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
| Regulatory Event | 29 |
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.
