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LG

Lindy A. Gallagher

Some features on this profile are disabled
CRD#: 1905676
LG

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.

Lindy Allyn Gallagher was a registered financial professional .

Lindy is a previously registered financial professional and started their career in finance in 2010. Lindy had worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 13, 2012 - June 18, 2013

TSG SPECTRUM CAPITAL ADVISORS, LLC

BD
CRD#: 157805
ALEXANDRIA, VA
Past

March 24, 2010 - March 28, 2012

MORGAN STANLEY

RIA
CRD#: 149777
W. PALM BEACH, FL
Past

March 3, 2010 - March 28, 2012

MORGAN STANLEY

BD
CRD#: 149777
W. PALM BEACH, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 4/13/2011
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2010
General Securities Representative Examination

Current Firm

TS
TSG SPECTRUM CAPITAL ADVISORS, LLC
TSG SPECTRUM CAPITAL ADVISORS, LLC

CRD#: 157805 / SEC#: , 8-68861

BD
Terminated by SEC on 12/16/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SPECTRUM CAPITAL ADVISORS, LLCMEMBER
BENDER, STEVEN CHRISTOPHERCFO, FINOP2650187
ILARIO, SCOTT LOUISPRESIDENT AND CHIEF COMPLIANCE OFFICER2086073

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.

Company Information

TSG SPECTRUM CAPITAL ADVISORS, LLC

CRD#: 157805

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