Craig S. Gallegos
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.
Craig Steven Gallegos was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1990. Craig had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 4 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
March 8, 2011 - June 19, 2013
AMERICAN TRUST INVESTMENT SERVICES, INC.
February 24, 2009 - April 14, 2010
HEROLD & LANTERN INVESTMENTS, INC.
May 25, 2007 - December 31, 2008
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
January 9, 2006 - May 9, 2007
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
November 7, 2000 - May 9, 2007
LASALLE ST SECURITIES, L.L.C.
September 20, 1990 - November 13, 2000
BARRON CHASE SECURITIES, INC.
May 24, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
January 24, 1990 - May 23, 1990
B C FINANCIAL CORPORATION
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
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
