John 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.
John Patrick Gallagher was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 3 firms and has passed the Series 63, SIE, 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
May 15, 2012 - January 20, 2016
BTG PACTUAL US CAPITAL, LLC
December 14, 2009 - May 17, 2010
BTG PACTUAL US CAPITAL, LLC
March 12, 2001 - September 2, 2008
UBS SECURITIES LLC
July 25, 1995 - March 12, 2001
UBS FINANCIAL SERVICES 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
Current Firm
BTG PACTUAL US CAPITAL, LLC
CRD#: 149486 / SEC#: , 8-68148
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
