James M. Gallaer
Professional summary
James Michael Gallaer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, James had worked at 4 firms, which includes W.J. NOLAN & COMPANY INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, KENSINGTON WELLS INCORPORATED, 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
August 29, 1997 - October 6, 1997
W.J. NOLAN & COMPANY, INC.
December 4, 1996 - April 16, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 1993 - October 18, 1996
KENSINGTON WELLS INCORPORATED
November 26, 1991 - February 19, 1993
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W.J. NOLAN & COMPANY, INC.
CRD#: 16465 / SEC#: , 8-33890
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOLAN, WILLIAM JOHN | PRESIDENT/ TREASURER/ DIRECTOR/ SHAREHOLDER/MSRB PRINICIPAL | 730316 |
| BELMONTE, ANTHONY FRANK | SHAREHOLDER | 3250612 |
| CHIRONIS, PAUL GEORGE | SHAREHOLDER | 1057611 |
| KEENAN, IVETTE | CORPORATE SECRETARY/SHAREHOLDER/DIRECTOR | 1099345 |
| AGTUCA, ANELYN AGUILLO | FINOP | 2745961 |
| AULD, JERRY | BRANCH OFFICE MANAGER/CROP/SROP/DIRECTOR OF COMPLIANCE | 2489295 |
| BRICKNER, WARD RUSSELL | TRADING DESK PRINCIPAL/ SUPERVISOR | 1434842 |
| MAKSUDIAN, WILLIAM | SHAREHOLDER | 1465396 |
| ORLANSKY, AHARON | SUPERVISORY ANALYST | 1247171 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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