John D. 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 Daniel Gallagher was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 63, SIE, Series 25, Series 55 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
July 5, 2002 - June 3, 2019
PRIME EXECUTIONS, INC.
May 8, 2002 - July 11, 2002
COCHRANE, TIMOTHY JOSEPH
January 6, 2000 - November 7, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 17, 1996 - January 13, 2000
WALL STREET ACCESS
March 14, 1996 - May 3, 1996
BLUESTONE CAPITAL CORP.
September 9, 1994 - March 13, 1996
QUICK & REILLY, 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 25
Date: 10/4/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 3/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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