Dennis M. Galgano
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.
Dennis Michael Galgano was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1974. Dennis had worked at 5 firms and has passed the SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2001 - October 11, 2017
MORGAN JOSEPH TRIARTISAN LLC
June 13, 1994 - October 18, 2000
NEW STREET INVESTMENTS L.P.
December 17, 1991 - April 13, 1994
NEW STREET SECURITIES CORPORATION
June 20, 1990 - December 19, 1991
DREXEL BURNHAM LAMBERT INCORPORATED
April 13, 1983 - December 19, 1991
DREXEL BURNHAM LAMBERT INCORPORATED
April 5, 1983 - June 6, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
September 5, 1974 - April 25, 1983
E. F. HUTTON & COMPANY INC
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 8/28/1974
Registered Representative ExaminationSeries 40
Date: 5/18/1978
Registered Principal ExaminationCurrent Firm
MORGAN JOSEPH TRIARTISAN LLC
CRD#: 10948 / SEC#: , 8-27971
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIARTISAN HOLDINGS INC. | SOLE SHAREHOLDER | |
| BLECHER, STEVEN DONALD | VICE CHAIRMAN OF THE BOARD, SECRETARY, TREASURER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, ROSFP | 1230668 |
| FULVIO, GENNARO JOHN | CHIEF FINANCIAL OFFICER; FINOP | 2435828 |
| SORTE, JOHN FOLLETT | CEO, EXECUTIVE CHAIRMAN, DIRECTOR, AND GENERAL SECURITIES PRINCIPAL | 1042672 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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