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CG

Cheryl L. Galante

Some features on this profile are disabled
CRD#: 2258457
CG

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.

Cheryl Lynn Galante was a registered financial professional .

Cheryl is a previously registered financial professional and started their career in finance in 2008. Cheryl had worked at 4 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 30 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2019 - March 25, 2022

KPG CAPITAL PARTNERS, LLC

BD
CRD#: 165392
PARK CITY, UT
Past

October 3, 2011 - August 30, 2018

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

May 18, 2011 - October 3, 2011

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
NEW YORK, NY
Past

June 6, 2008 - April 13, 2011

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/16/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 3/18/2019
NFA Branch Manager Examination

Current Firm

KC
KPG CAPITAL PARTNERS, LLC
KPG CAPITAL PARTNERS, LLC

CRD#: 165392 / SEC#: , 8-69158

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

Main Address
1389 Center Drive Suite 200, Park City, UT 84098
Mailing Address
1389 Center Drive Suite 200, Park City, UT 84098
Phone number
(212) 588-8889
Established
Delaware since 12/11/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GETTINGER, KENNETH PAULMANAGING MEMBER, EXECUTIVE REP., & GSP1511817
BUSHMAN, SHAUNA NMNCHIEF COMPLIANCE OFFICER, FINOP/CFO, CE OFFICER, AML OFFICER & GSP5231277

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

KPG CAPITAL PARTNERS, LLC

CRD#: 165392

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