James Gallagher
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.
James Gallagher was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2020 - January 29, 2021
AVATAR SECURITIES, LLC
June 25, 2015 - January 31, 2020
FBN SECURITIES, INC.
February 10, 2010 - July 22, 2015
DRIVEWEALTH INSTITUTIONAL LLC
January 21, 2003 - September 12, 2007
SAL EQUITY TRADING, GP
August 19, 2002 - February 23, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 13, 1995 - August 2, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 22, 1993 - June 26, 1995
LABRANCHE FINANCIAL SERVICES, LLC
January 13, 1993 - November 22, 1993
CITICORP INVESTMENT SERVICES
October 22, 1991 - December 24, 1992
LEHMAN BROTHERS INC.
July 31, 1991 - September 25, 1991
STRATTON OAKMONT INC.
January 15, 1991 - July 17, 1991
PRIME CHARTER LTD.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/7/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 12/12/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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