Daniel J. Gallagher
Professional summary
Daniel James Gallagher was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Daniel had worked at 4 firms, which includes EKN FINANCIAL SERVICES INC., VISION SECURITIES INC., D.L. CROMWELL INVESTMENTS INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2010 - June 17, 2011
EKN FINANCIAL SERVICES INC.
June 15, 2005 - January 8, 2010
VISION SECURITIES INC.
June 15, 2001 - June 7, 2005
VISION SECURITIES INC.
July 19, 1999 - June 7, 2001
D.L. CROMWELL INVESTMENTS, INC.
January 29, 1997 - December 21, 1998
D.L. CROMWELL INVESTMENTS, INC.
November 23, 1990 - December 20, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
EKN FINANCIAL SERVICES INC.
CRD#: 113525 / SEC#: , 8-53346
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
| Arbitration | 10 |
| Judgment/Lien | 1 |
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