GM
Galen B. Maddy
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CRD#: 2150839
GM
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.
Galen Byron Maddy SR, who also goes by Galen Byron Maddy, was a registered financial professional .
Galen is a previously registered financial professional and started their career in finance in 1996. Galen had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Galen Byron Maddy
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 28, 2019 - November 12, 2019
FINANCIAL & TAX ARCHITECTS, LLC
RIA
CRD#: 119169
Carlsbad, CA
Past
May 9, 2018 - August 29, 2019
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
Carlsbad, CA
Past
September 26, 2017 - April 11, 2018
WEALTH WATCH ADVISORS, INC
RIA
CRD#: 172002
CARLSBAD, CA
Past
October 29, 2013 - December 31, 2014
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
CARLSBAD, CA
Past
October 13, 2006 - October 31, 2013
SICOR SECURITIES INC
BD
CRD#: 16195
CARLSBAD, CA
Past
April 22, 2004 - January 8, 2007
GUSTAFSON FINANCIAL, INC.
BD
CRD#: 16194
SAN DIEGO, CA
Past
October 16, 2002 - May 5, 2004
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
November 18, 1996 - September 19, 2002
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12412 Powerscourt Drive Suite 25, St. Louis, MO 63131
Mailing Address
Phone number
(314) 858-1122
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,347 |
| AUM (Assets Under Management) | $ 443,026,713 |
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.
