Richard M. Gallagher
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.
Richard Michael Gallagher, who also goes by Richard Gallagher, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2019 - November 1, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
September 25, 2017 - January 5, 2018
MAXIM GROUP LLC
April 24, 2017 - September 18, 2017
R.W.PRESSPRICH & CO.
November 7, 2012 - March 31, 2016
MIZUHO SECURITIES USA LLC
January 17, 2012 - May 7, 2012
MUFG SECURITIES AMERICAS INC.
October 3, 2011 - December 5, 2011
MF GLOBAL INC.
May 19, 2006 - September 23, 2011
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
September 6, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
December 20, 2000 - October 11, 2001
INTL FCSTONE CREDIT TRADING LLC
April 14, 2000 - December 14, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1999 - April 19, 2000
KEYBANC CAPITAL MARKETS INC.
June 9, 1993 - August 30, 1999
SMBC NIKKO SECURITIES AMERICA, INC.
October 5, 1992 - June 8, 1993
LEHMAN BROTHERS 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
Current Firm
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
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.
