Kevin P. 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.
Kevin Paul Gallagher was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2020 - March 20, 2023
CHARLES TOWNE SECURITIES, LLC
May 21, 2012 - December 26, 2019
PATRICK CAPITAL MARKETS, LLC
May 4, 2009 - December 31, 2011
SGMA CAPITAL MARKETS LIMITED
August 21, 2006 - May 1, 2009
OSAIC SERVICES, INC.
April 29, 2002 - August 2, 2006
RYAN BECK & CO.
January 18, 2001 - May 14, 2002
GRUNTAL & CO., L.L.C.
April 11, 1997 - February 1, 2001
TRADE.COM ONLINE SECURITIES, INC.
January 23, 1996 - April 14, 1997
LAIDLAW GLOBAL SECURITIES, INC.
November 1, 1993 - February 21, 1996
SANDS BROTHERS & CO., LTD.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHARLES TOWNE SECURITIES, LLC
CRD#: 172278 / SEC#: , 8-69505
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
