AG
Andrew J. Galy
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CRD#: 1915564
AG
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.
Andrew Jon Galy, who also goes by Andy Jon Galy, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andy Jon Galy
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.
1)WESTERN UNITED LIFE, 10777 NW FWY, HOUSTON, TX, 5/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 2)NEW ORLEANS PRIVATE WEALTH MANAGEMENT LLC;4736 W. NAPOLEON AVE. STE.105, METAIRIE, LA, SINCE 7/20/2015 AS PRESIDENT OF SECURITIES DBA. INV REL - DEVOTES 160 HR/MO; ALL DURING TRADING. 3) GL CAPITAL MANAGEMENT LLC, 4736 W. NAPOLEON AVE, METAIRIE, LA; BEGAN 09/01/2004 ; AS PARTNER ; NOT INVESTMENT RELATED ; DEVOTES 0 HRS/YR. 4)CAILYN MICHAEL PARENTON FOUNDATION, INC, 208 BROCKENBROUGH CT, METAIRIE, LA, BOARD DIRECTOR, 02/01/15, NIR, 0 HR/YR- 0/TRADING 5. B&A AGENCY, 4736 W NAPOLEON AVE, METAIRIE, LA, 1/2013 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 0/TRADING. 6.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. 02/21/14. 7. IHC SPECIALTY BENEFITS, 2900 N CAUSEWAY BLVD, STE 1202, METAIRIE, LA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 08/01/20, NIR, 2/MO- 0/TRADING
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®
NoneExperience
Past
March 13, 2014 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
METAIRIE, LA
Past
February 25, 2014 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
METAIRIE, LA
Past
September 9, 2009 - February 28, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
METAIRIE, LA
Past
September 9, 2009 - February 28, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
METAIRIE, LA
Past
October 18, 2007 - September 14, 2009
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
METAIRIE, LA
Past
October 2, 2007 - September 14, 2009
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
METAIRIE, LA
Past
September 18, 2002 - December 31, 2002
FBT ADVISORS, INC.
RIA
CRD#: 112690
NEW ORLEANS, LA
Past
April 6, 2001 - October 3, 2007
FBT INVESTMENTS, INC.
BD
CRD#: 104463
METAIRIE, LA
Past
December 8, 2000 - May 10, 2001
SISUNG SECURITIES CORPORATION
BD
CRD#: 25752
METAIRIE, LA
Past
April 13, 2000 - December 8, 2000
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
February 15, 1996 - March 30, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
July 8, 1994 - March 7, 1996
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
April 18, 1989 - July 26, 1994
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
