BG
Brendan Gallagher
LPL ENTERPRISE
Brooklyn, NY 11232
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CRD#: 2263140
BG
Professional summary
Brendan Gallagher is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Brooklyn, New York.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brendan has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 11/14/2024 - Silver Bridge Financial Service, Inc - Non-Variable Insurance - Brooklyn, NY - INV REL - Start Date 11/27/2019 - 2hrs/mth 2. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Gallagher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brendan 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 33 35th Street Suite A410, Brooklyn, NY 11232RIA
BD
CRD#: 8733
Brooklyn, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 33 35th Street Suite A410, Brooklyn, NY 11232RIA
BD
CRD#: 8733
Brooklyn, NY
Past
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Forest Hills, NY
Past
May 18, 2016 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Forest Hills, NY
Past
November 13, 2014 - May 6, 2016
HARTFIELD, TITUS & DONNELLY, LLC
BD
CRD#: 7117
JERSEY CITY, NJ
Past
September 4, 2007 - November 28, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
JERSEY CITY, NJ
Past
March 23, 2005 - September 5, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
September 8, 2004 - April 12, 2005
JAVELIN SECURITIES, LLC
BD
CRD#: 107473
COHASSET, MA
Past
May 22, 2002 - August 17, 2004
PECONIC SECURITIES LLC
BD
CRD#: 46781
NEW YORK, NY
Past
July 19, 2001 - May 14, 2002
BGC FINANCIAL, L.P.
BD
CRD#: 19801
NEW YORK, NY
Past
December 13, 2000 - July 23, 2001
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
July 17, 1992 - July 24, 2001
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(1/2/2025)
RR
Louisiana(11/14/2024)
RR
Nevada(11/4/2025)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Ohio(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
