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John Gallagher

LIQUIDNET

NEW YORK, NY

·CRD# 1908429·37 years experience

Professional Summary

John Gallagher, who also goes by John James Gallagher Jr, John James (jr) Gallagher, is a registered financial advisor currently at LIQUIDNET, INC. located in New York, New York and TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7,...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John James Gallagher Jr, John James (jr) Gallagher

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

LIQUIDNET, INC.·CRD# 103987

BD

200 Vesey Street 5th Floor, New York, NY 10281

May 12, 2025 - Present

TP ICAP GLOBAL MARKETS AMERICAS LLC·CRD# 2762

BD

200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008

May 21, 2025 - Present

MARKET AXESS INC.·CRD# 104103

BD

New York, NY

April 16, 2001 - March 1, 2002

MARKETAXESS CORPORATION·CRD# 44542

BD

New York, NY

March 26, 2001 - November 1, 2024

LLAMA COMPANY·CRD# 22440

BD

Fayetteville, AR

February 4, 1999 - November 3, 1999

DEALERWEB LLC·CRD# 19662

BD

Jersey City, NJ

December 20, 1995 - December 23, 1997

NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297

BD

New York, NY

May 26, 1993 - May 19, 1995

MERRILL LYNCH GOVERNMENT SECURITIES INC.·CRD# 19693

BD

New York, NY

December 12, 1991 - May 21, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

New York, NY

December 23, 1988 - May 21, 1993

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Current Firm

TI

TP ICAP GLOBAL MARKETS AMERICAS LLC

GARBAN CORPORATES GP | TP ICAP GLOBAL MARKETS AMERICAS LLC | MKI SECURITIES CORP. | ICAP CORPORATES LLC | GARBAN CORPORATES, INC. | GARBAN CORPORATES LLC

CRD#: 2762 / SEC#: 8-12726

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

200 Vesey Street 6th Floor, New York, NY 10285

Mailing Address

200 Vesey Street 6th Floor, New York, NY 10285

Phone Number

(201) 984-6889

Established

Delaware since 06/30/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (35 States and Territories)

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

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC.	SOLE MEMBER	—
BERNARDO, SHAWN FRANCIS	CEO	2513376
DUGAN, PETER JOSEPH	GENERAL COUNSEL	6352313
LANE, JASON	CHIEF COMPLIANCE OFFICER	2671708
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

33

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

New York
(5/12/2025)

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 Jun 1993About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed May 2025About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1988About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Dec 2015About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 1999About the Series 24 exam

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view John Gallagher's CRS (Customer Relationship Summary).

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JG

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