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Charles Lee Gallamore

CRD# 2443271·Registered 1994 - 2009
Barred: Charles Lee Gallamore was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Charles Lee Gallamore, who also goes by Charlie Gallamore, was a registered financial advisor. Charles was a previously registered financial advisor and started their career in finance 1994 - 2009. Charles had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Charlie Gallamore

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

SOUTHWEST TEXAS CAPITAL, L.L.C·CRD# 104200
RIA
Northville, MI
May 19, 2006 - June 22, 2009
SOUTHWEST TEXAS CAPITAL, L.L.C·CRD# 104200
BD
Northville, MI
October 30, 2000 - June 22, 2009
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
June 24, 1998 - December 8, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
September 16, 1996 - July 6, 1998
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
February 1, 1994 - September 26, 1996

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Current Firm

ST
SOUTHWEST TEXAS CAPITAL, L.L.C

BROKERDEALS.COM, L.L.C. | SWTCAPITAL, LLC | SW TEXAS CAPITAL, LLC | SOUTHWEST TEXAS CAPITAL, LLC | SOUTHWEST TEXAS CAPITAL, L.L.C | GALLAMORE AND LIGHTFOOT FINANCIAL | GALLAMORE & LIGHTFOOT FINANCIAL GROUP, LLC | GALLAMORE & LIGHTFOOT FINANCIAL GROUP | BROKERDEALS.COM,LLC DBA GALLAMORE AND LIGHTFOOT FINANCIAL GROUP

CRD#: 104200 / SEC#: 8-52670
BD
Terminated by SEC on 10/06/2009

Contact Information

Established

Texas since 05/18/2000

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST TEXAS CAPITAL, INC.OWNER—
GALLAMORE, CHARLES LEEPRESIDENT & CEO + SEC. + CCO2443271
HILL, JERRY MOOREFIN OP3357
QUICK, DAVID JAMESMANAGING PARTNER- PRINCIPAL2236190
TSALIS, MARIA LEAPRINCIPAL-BRANCH MANAGER1946496

Disclosures

Regulatory Event

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1994About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1994About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1994About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1994About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Apr 2003About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Sep 2000About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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