James J. Gallagher
Professional summary
James J Gallagher, who also goes by James J Gallagher Jr, James Joseph Gallagher Jr, James Joseph Gallagher Jr., James Joseph Gallagher, is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James J Gallagher's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2022 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 1218 Webster Street, Houston, TX 77002-8841June 2, 2021 - June 30, 2021
HOLLISTER ASSOCIATES, LLC
January 31, 2018 - August 28, 2020
HOLLISTER ASSOCIATES, LLC
July 10, 2017 - January 29, 2018
FRONTIER SOLUTIONS, LLC
March 6, 2012 - July 11, 2017
STONEHAVEN, LLC
May 4, 2011 - February 3, 2012
FLETCHERBENNETT CAPITAL LLC
August 7, 2009 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2001 - January 16, 2003
J.P. MORGAN SECURITIES LLC
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
February 18, 1997 - August 25, 1999
CITIGROUP GLOBAL MARKETS INC.
November 7, 1994 - October 30, 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
(10/20/2022)
(10/20/2022)
(10/20/2022)
(10/20/2022)
(10/20/2022)
(2/5/2022)
(2/5/2022)
Exams
FINRA
Current Firm
RIDGEBACK SECURITIES, LTD
CRD#: 120448 / SEC#: , 8-65298
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, LLC | LIMITED PARTNER | |
| CAPITAL FINANCIAL GROUP, INC. | LIMITED PARTNER | |
| BRISTOW, BRIAN BRUCE | CHIEF OPERATING OFFICER | 3151921 |
| CONNOLLY, BRENDAN MACKEY | CHIEF COMPLIANCE OFFICER | 4352883 |
| MCSALGP, LLC | GENERAL PARTNER | |
| VANPELT, WILLIAM HENRY IV | PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER | 1716622 |
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.
Company Information
RIDGEBACK SECURITIES, LTD
CRD#: 120448Houston, TX 77002-8841TRUST BUT VERIFY
Monitor James Gallagher
Get automatic monthly alerts on:
