Peter F. 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.
Peter F Gallagher JR, who also goes by Pete Gallagher, Peter F Gallagher, Peter Francis Gallagher Jr, Peter Francis Gallagher Jr., Peter Gallagher, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 11 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, 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
February 27, 2023 - May 22, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 4, 2015 - December 3, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 4, 2015 - October 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 4, 2015 - October 4, 2022
PRUCO SECURITIES, LLC.
August 16, 2011 - February 19, 2013
CITIGROUP GLOBAL MARKETS INC.
May 5, 2010 - May 8, 2015
LAVAFLOW, INC.
August 28, 2008 - April 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2008 - April 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2006 - January 29, 2008
PERSHING LLC
February 26, 2001 - February 15, 2006
COMMERZ MARKETS LLC
April 24, 2000 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
January 6, 1998 - May 5, 2000
J.P. MORGAN SECURITIES LLC
November 29, 1997 - January 16, 1998
CITIGROUP GLOBAL MARKETS INC.
November 3, 1997 - January 16, 1998
SALOMON 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
