Eugene S. Gallagher

CASTLEOAK SECURITIES, LP

NEW YORK, NY 10281

Some features on this profile are disabled

CRD#: 1999180

Professional summary

Eugene Stephen Gallagher, who also goes by Eugene Gallagher, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Eugene Gallagher

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) - BD

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

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

Current

March 4, 2009 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey St. Fl 04, New York, NY 10281

CRD#: 125334

NEW YORK, NY

Past

December 16, 2004 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

August 11, 2003 - December 6, 2004

BLAYLOCK & COMPANY, INC.

CRD#: 35669

NEW YORK, NY

Past

June 10, 1999 - January 10, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 1, 1999 - June 11, 1999

KELMOORE INVESTMENT COMPANY, INC.

CRD#: 22509

PALO ALTO, CA

Past

December 20, 1989 - December 16, 1998

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nebraska
(3/30/2023)

New York
(3/6/2009)

Exams

State Security Law Exam

Series 63

Date: 12/20/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/29/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/16/1989

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/22/1989

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Vesey Street Fl 04, New York, NY 10281

Mailing Address

200 Vesey St Fl 04, New York, NY 10281

Phone number

(646) 521-6700

Established

Delaware since 07/01/2004

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 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	2
Civil Event	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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eugene S. Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

BLAYLOCK & COMPANY, INC.

J.P. MORGAN SECURITIES INC.

KELMOORE INVESTMENT COMPANY, INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/1989

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/29/2004

Series 7

Date: 12/16/1989

Series 3

Date: 11/22/1989

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CASTLEOAK SECURITIES, LP

TRUST BUT VERIFY

Similar Advisors