Joseph 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.
Joseph Gallagher, who also goes by Joseph Patrick Gallagher, Joseph P Gallagher, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE 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 29, 2016 - April 5, 2017
EDWARD JONES
August 29, 2016 - April 5, 2017
EDWARD JONES
April 26, 2016 - August 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2016 - August 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2015 - March 4, 2016
DIRECTIONAL FINANCIAL SERVICES
June 10, 2014 - March 4, 2016
EMPIRICAL WEALTH MANAGEMENT
January 13, 2014 - June 9, 2014
U.S. BANCORP ADVISORS, LLC
January 13, 2014 - June 9, 2014
U.S. BANCORP ADVISORS, LLC
July 15, 2005 - June 25, 2013
CHARLES SCHWAB & CO., INC.
July 12, 2005 - June 25, 2013
CHARLES SCHWAB & CO., INC.
July 17, 2003 - July 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2003 - July 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2002 - June 19, 2003
CITIGROUP GLOBAL MARKETS INC.
October 21, 2002 - June 19, 2003
CITIGROUP GLOBAL MARKETS INC.
March 20, 1995 - September 16, 2002
CITIGROUP GLOBAL MARKETS INC.
September 7, 1994 - September 16, 2002
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
