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MG

Michael Galante

Some features on this profile are disabled
CRD#: 2336914
MG

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.

Michael Galante was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 55 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)

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

August 6, 2012 - March 5, 2020

MAYBANK SECURITIES USA INC.

BD
CRD#: 27861
NEW YORK, NY
Past

June 11, 2012 - July 25, 2012

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
BOCA RATON, FL
Past

September 15, 2004 - May 11, 2012

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

March 19, 2002 - July 16, 2004

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

August 25, 2000 - August 14, 2001

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

July 1, 1998 - August 3, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 13, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

October 1, 1997 - May 28, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 14, 1996 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

April 30, 1993 - April 19, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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: 9/2/1993
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 55
Date: 4/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/16/1993
General Securities Representative Examination

Current Firm

MS
MAYBANK SECURITIES USA INC.
KIM ENG SECURITIES U.S.A. INC. | MAYBANK SECURITIES USA INC. | MAYBANK KIM ENG SECURITIES USA INC.

CRD#: 27861 / SEC#: , 8-43264

BD
Terminated by SEC on 04/29/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/26/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MAYBANK IBG HOLDINGS LIMITED100% OWNER
BORRUSO, JOSEPH JOHNCHIEF OPERATING OFFICER4879344
CHIN, PHYLLIS NYUK FAHCHIEF FINANCIAL OFFICER6250921
YEE, JOYCECCO , COMPLIANCE OFFICER2204985

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

MAYBANK SECURITIES USA INC.

CRD#: 27861

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