Eugene Stephen Gallagher
Professional Summary
Eugene Stephen Gallagher, who also goes by Eugene Gallagher, is a registered financial advisor currently at CASTLEOAK SECURITIES, LP located in New York, New York. Eugene is registered as a RR (Registered Representative) and started their career in finance in 1989. Eugene has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eugene Gallagher
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Videos & Posts
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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
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Current Firm
BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP
Contact Information
Main Address
200 Vesey Street Fl 04, New York, NY 10281Mailing Address
200 Vesey St Fl 04, New York, NY 10281Phone Number
(646) 521-6700Established
Delaware since 07/01/2004Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | — |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
Regulatory Event
2Civil Event
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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.
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State Registrations and Notice Filings
(3/30/2023)
(3/6/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2004SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eugene Stephen Gallagher's CRS (Customer Relationship Summary).
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