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 advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James J Gallagher Jr, James Joseph Gallagher Jr, James Joseph Gallagher Jr., James Joseph Gallagher
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Videos & Posts
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Contact Information
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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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.
Contact Information
Main Address
1218 Webster Street, Houston, TX 77002-8841Mailing Address
1218 Webster Street, Houston, TX 77002-8841Phone Number
(713) 289-6200Established
Texas since 04/01/2002Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (37 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, INC | 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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(10/20/2022)
(10/20/2022)
(10/20/2022)
(10/20/2022)
(10/20/2022)
(2/5/2022)
(2/5/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James J Gallagher's CRS (Customer Relationship Summary).
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