Sean C. Gallop
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.
Sean Christian Gallop, who also goes by Sean Gallop, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1989. Sean had worked at 3 firms and has passed the Series 65, Series 63, Series 16, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2009 - October 7, 2025
UNISON INVESTMENT MANAGEMENT, LLC
September 16, 1993 - May 11, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
October 31, 1989 - September 20, 1993
JPMSI
Primary Firm SEC Registration
UNISON INVESTMENT MANAGEMENT, LLC
CRD#: 150893 / SEC#: 801-109979
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
Series 8
Date: 3/25/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UNISON INVESTMENT MANAGEMENT, LLC
CRD#: 150893 / SEC#: 801-109979
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 1,685,557,326 |
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.
