Rudolph A. Galera
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.
Rudolph A Galera, who also goes by Rudoplh Galera, Rudy Galera, was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 1998. Rudolph had worked at 6 firms and has passed the Series 65, Series 63 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
August 13, 2013 - February 6, 2019
VII PEAKS CAPITAL LLC
November 25, 2008 - October 20, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
February 22, 2007 - August 6, 2013
BMO FAMILY OFFICE, LLC
December 16, 2005 - November 2, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
December 16, 2005 - April 9, 2007
BMO HARRIS FINANCIAL ADVISORS, INC.
September 15, 2004 - December 31, 2005
HARRISDIRECT LLC
August 1, 2001 - January 28, 2003
CANACCORD GENUITY SECURITIES LLC
June 25, 1998 - April 24, 2001
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
VII PEAKS CAPITAL LLC
CRD#: 153825 / SEC#: 801-71553
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 27,599,466 |
Red Flags
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