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GG

Gary Gallagher

ICAPITAL MARKETS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2218836
GG

Professional summary

Gary Gallagher, who also goes by Gary John Gallagher, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1992. Gary has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary John Gallagher

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary 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®
None

Experience

Current

April 1, 2026 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

November 5, 2020 - January 8, 2026

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
BOSTON, MA
Past

September 27, 2011 - January 8, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

September 21, 2011 - January 8, 2026

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

December 6, 2007 - December 31, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

September 8, 1995 - November 7, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

September 29, 1992 - July 6, 1995

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY

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
(4/1/2026)
RR
Alaska
(4/1/2026)
RR
Arizona
(4/1/2026)
RR
Arkansas
(4/1/2026)
RR
California
(4/1/2026)
RR
Colorado
(4/1/2026)
RR
Connecticut
(4/1/2026)
RR
Delaware
(4/1/2026)
RR
District of Columbia
(4/1/2026)
RR
Florida
(4/1/2026)
RR
Georgia
(4/1/2026)
RR
Hawaii
(4/1/2026)
RR
Idaho
(4/1/2026)
RR
Illinois
(4/1/2026)
RR
Indiana
(4/1/2026)
RR
Iowa
(4/1/2026)
RR
Kansas
(4/1/2026)
RR
Kentucky
(4/1/2026)
RR
Louisiana
(4/1/2026)
RR
Maine
(4/1/2026)
RR
Maryland
(4/1/2026)
RR
Massachusetts
(4/1/2026)
RR
Michigan
(4/1/2026)
RR
Minnesota
(4/1/2026)
RR
Mississippi
(4/1/2026)
RR
Missouri
(4/1/2026)
RR
Montana
(4/1/2026)
RR
Nebraska
(4/1/2026)
RR
Nevada
(4/1/2026)
RR
New Hampshire
(4/1/2026)
RR
New Jersey
(4/1/2026)
RR
New Mexico
(4/1/2026)
RR
New York
(4/1/2026)
RR
North Carolina
(4/1/2026)
RR
North Dakota
(4/1/2026)
RR
Ohio
(4/1/2026)
RR
Oklahoma
(4/1/2026)
RR
Oregon
(4/1/2026)
RR
Pennsylvania
(4/1/2026)
RR
Puerto Rico
(4/1/2026)
RR
Rhode Island
(4/1/2026)
RR
South Carolina
(4/1/2026)
RR
South Dakota
(4/1/2026)
RR
Tennessee
(4/1/2026)
RR
Texas
(4/1/2026)
RR
Utah
(4/1/2026)
RR
Vermont
(4/1/2026)
RR
Virgin Islands
(4/1/2026)
RR
Virginia
(4/1/2026)
RR
Washington
(4/1/2026)
RR
West Virginia
(4/1/2026)
RR
Wisconsin
(4/1/2026)
RR
Wyoming
(4/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

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.

Company Information

ICAPITAL MARKETS LLC

CRD#: 118219Greenwich, CT 06830

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