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PG

Patrick J. Gallagher

LAIDLAW & COMPANY (UK) LTD.
New York, NY 10175
Some features on this profile are disabled
CRD#: 2370146
PG

Professional summary

Patrick Joseph Gallagher is a registered financial advisor currently at LAIDLAW & COMPANY (UK) LTD. located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 7, Series 24 and Series 28 exams.

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) - BD

Click below to view Patrick Joseph Gallagher's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 9, 2014 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: 521 5th Avenue 12th Floor, New York, NY 10175
BD
CRD#: 119037
New York, NY
Past

May 7, 2012 - September 3, 2013

POTOMAC SECURITIES, LLC

BD
CRD#: 144443
MCLEAN, VA
Past

November 12, 2010 - November 22, 2011

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

November 1, 2010 - July 11, 2011

SANDERS MORRIS LLC

RIA
CRD#: 20580
NEW YORK, NY
Past

November 1, 2010 - July 11, 2011

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

June 29, 2009 - August 30, 2010

NOVA CAPITAL MARKETS, LLC

BD
CRD#: 32694
WEST CONSHOHOCKEN, PA
Past

June 7, 2006 - November 8, 2010

BDR RESEARCH LLC

BD
CRD#: 138834
NEW YORK, NY
Past

July 13, 2005 - November 21, 2010

BDR RESEARCH GROUP LLC

RIA
CRD#: 130836
FLANDERS, NJ
Past

April 21, 1998 - July 27, 2001

NEW VERNON SECURITIES, LLC

BD
CRD#: 44308
RIDGEWOOD, NJ
Past

May 8, 1997 - May 1, 1998

ENDATUM SECURITIES, INC.

BD
CRD#: 23734
SAN DIEGO, CA
Past

January 28, 1995 - May 11, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 4, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

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

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
New Jersey
(10/17/2014)
RR
New York
(9/19/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/26/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 11/8/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 6/6/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/17/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/13/1998
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event10
Arbitration4

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

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037New York, NY 10175

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