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RG

Richard N. Galster

VISION FINANCIAL MARKETS LLC
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2228137
RG

Professional summary

Richard Nathan Galster is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Richard Nathan Galster's CRS (Customer Relationship Summary).
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

December 9, 2021 - Present

VISION FINANCIAL MARKETS LLC

Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901
BD
CRD#: 142271
Stamford, CT
Past

July 21, 2008 - March 19, 2015

VISION INVESTMENT ADVISORS, LLC

RIA
CRD#: 109621
MINOT, ND
Past

July 21, 2008 - December 31, 2021

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
MINOT, ND
Past

July 23, 2001 - July 21, 2008

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
MINOT, ND
Past

October 30, 1998 - July 21, 2008

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
MINOT, ND
Past

May 13, 1998 - October 30, 1998

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

February 20, 1997 - December 31, 1997

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

April 10, 1992 - November 15, 1995

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI

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
Arizona
(12/9/2021)
RR
North Dakota
(1/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/1/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/1992
General Securities Representative Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

VF
VISION FINANCIAL MARKETS LLC
HR TRADER | VISION LIMITED PARTNERSHIP | VISION FINANCIAL MARKETS LLC

CRD#: 142271 / SEC#: , 8-67447

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Phone number
(203) 388-2700
Established
Delaware since 05/15/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROTHMAN, HOWARD MARTINPRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER1098190
ROTHMAN, MICHAEL DAVIDGENERAL MANAGER6682487
FELAG, JOHN CHRISTOPHERCHIEF RISK OFFICER1874602
HERRITT, JOSHUA DAVIDVP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP6205459
KARAFA, JOHN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP2927594
MARTINEZ, ANAVICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER5288054

Disclosures

Regulatory Event32

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

VISION FINANCIAL MARKETS LLC

CRD#: 142271Stamford, CT 06901

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