Brian Dunn Gallary
Professional Summary
Brian Dunn Gallary is a registered financial advisor currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois. Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Current Firm
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.
Contact Information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Mailing Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Phone Number
(630) 765-8000Established
Illinois since 05/10/1991Firm Type
PartnershipFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | — |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER | — |
Disclosures
Regulatory Event
4Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
State Registrations and Notice Filings
(1/5/2015)
(1/5/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1992About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2001About the Series 9 examSRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
CRS (Client Relationship Summary) - BD
Click below to view Brian Dunn Gallary's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
