Philip J. Gallina
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.
Philip John Gallina, who also goes by Phil Gallina, Phillip John Gallina, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1989. Philip had worked at 3 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2005 - August 21, 2006
MID-ATLANTIC SECURITIES, INC.
July 13, 1999 - November 14, 2003
IMAGETECH INVESTMENTS, LLC
May 17, 1989 - November 13, 2000
MEDTECH INVESTMENTS, INC.
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
Current Firm
MID-ATLANTIC SECURITIES, INC.
CRD#: 18836 / SEC#: 801-112068, 8-36997
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVEL FOUR GROUP, LLC | OWNER | |
| POWELL, ELIZABETH TAYLOE | CHIEF COMPLIANCE OFFICER | 1240225 |
Regulatory assets under management
| Total Number of Accounts | 949 |
| AUM (Assets Under Management) | $ 380,201,903 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
