CG
Cara L. Gallagher
STIFEL, NICOLAUS & COMPANY
HACKENSACK, NJ 07601
CRD#: 2160173
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CG
Cara L GallagherSTIFEL, NICOLAUS & COMPANY
Professional summary
Cara L Gallagher, who also goes by Cara Lee Gallagher, Cara Lee Motti, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Hackensack, New Jersey.
Cara is registered as a RR (Registered Representative) and started their career in finance in 1991. Cara has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cara Lee Gallagher | Cara Lee Motti
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) - BD
Click below to view Cara L Gallagher's CRS (Customer Relationship Summary).
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
Current
September 20, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 433 Hackensack Avenue 8th Floor, Hackensack, NJ 07601RIA
BD
CRD#: 793
HACKENSACK, NJ
Past
August 7, 2006 - May 11, 2018
TRADE MANAGE CAPITAL, INC.
BD
CRD#: 7263
SADDLE BROOK, NJ
Past
November 18, 2004 - March 17, 2005
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
Past
February 2, 1998 - September 27, 2001
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
Past
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
BD
CRD#: 42967
JERSEY CITY, NJ
Past
March 25, 1996 - October 14, 1997
NASH, WEISS & CO.
BD
CRD#: 6470
JERSEY CITY, NJ
Past
November 16, 1995 - January 23, 1996
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
Past
August 25, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
BD
CRD#: 6456
HONOLULU, HI
Past
August 5, 1991 - January 16, 1995
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/20/2020)
RR
Alaska(10/18/2019)
RR
Arizona(10/18/2019)
RR
Arkansas(3/19/2020)
RR
California(10/18/2019)
RR
Colorado(10/18/2019)
RR
Connecticut(10/18/2019)
RR
Delaware(10/18/2019)
RR
District of Columbia(10/18/2019)
RR
Florida(10/18/2019)
RR
Georgia(10/18/2019)
RR
Idaho(3/30/2020)
RR
Illinois(10/18/2019)
RR
Kentucky(3/19/2020)
RR
Maine(1/8/2020)
RR
Maryland(10/18/2019)
RR
Massachusetts(10/18/2019)
RR
Michigan(8/30/2024)
RR
Missouri(10/18/2019)
RR
Montana(3/19/2020)
RR
Nebraska(3/19/2020)
RR
Nevada(3/19/2020)
RR
New Hampshire(10/18/2019)
RR
New Jersey(9/20/2018)
RR
New Mexico(3/19/2020)
RR
New York(10/18/2019)
RR
North Carolina(10/21/2019)
RR
Ohio(3/20/2020)
RR
Oklahoma(3/19/2020)
RR
Oregon(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
Rhode Island(10/18/2019)
RR
South Carolina(10/18/2019)
RR
Texas(10/18/2019)
RR
Utah(3/19/2020)
RR
Vermont(3/19/2020)
RR
Virginia(10/18/2019)
RR
Washington(10/18/2019)
RR
Wisconsin(3/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/28/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
