Robert F. Galliven
Professional summary
Robert Francis Galliven is a registered financial professional currently at AVATAR SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1969. Robert has worked at 9 firms and has passed the Series 57TO, SIE, Series 55, PC, Series 1, Series 000 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Francis Galliven's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2012 - Present
AVATAR SECURITIES, LLC
Office #1: 148 Madison Ave 5th Floor, New York, NY 10016April 21, 2006 - September 28, 2012
G-2 TRADING,LLC
September 26, 2002 - September 7, 2005
FIRST NEW YORK SECURITIES L.L.C.
May 17, 2001 - September 30, 2002
RUMSON CAPITAL, LLC
February 10, 1997 - August 1, 2000
FIRST NEW YORK SECURITIES L.L.C.
September 30, 1991 - March 30, 1993
DIRECT BROKERAGE, INC.
March 10, 1989 - December 14, 1990
UBS SECURITIES LLC
February 27, 1981 - February 22, 1989
UBS FINANCIAL SERVICES INC.
July 8, 1974 - November 2, 1978
UBS ASSET MANAGEMENT (US) INC.
October 15, 1969 - January 29, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
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: 4/3/2000
Limited Representative-Equity Trader ExamPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 10/9/1969
Registered Representative ExaminationSeries 000
Date: 10/19/1968
General Securities Principal ExaminationFINRA
Nasdaq PHLX LLC
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
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