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TG

Thomas L. Gallucci

PICKWICK CAPITAL PARTNERS
White Plains, NY 10601
Some features on this profile are disabled
CRD#: 2651242
TG

Professional summary

Thomas Lee Gallucci is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Lee Gallucci's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 13, 2019 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601
BD
CRD#: 130672
White Plains, NY
Past

January 7, 2015 - December 7, 2017

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

October 18, 2013 - December 22, 2014

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

May 20, 2009 - October 17, 2013

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

February 1, 1999 - May 1, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 25, 1997 - February 12, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 14, 1995 - March 14, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/13/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/23/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 6/23/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 6/23/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/13/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PICKWICK CAPITAL PARTNERS, LLC
JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Phone number
(914) 358-3269
Established
Delaware since 08/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREENWOOD, DOUGLAS CHARLES WILLIAMPRESIDENT1192611
DANOVITCH, DAVID EMANAGING PRINCIPAL, GENERAL COUNSEL3013350
KAPLOWITZ, JAYMEMBER
ROSE, JOHN IRVING IIMEMBER2790640
WU, CHIH-CHUNMEMBER5704739
FJC CAPITAL INC.OWNER
VAN SCHAACK, JOHN GREGORYMEMBER1121171
ABRAMCZYK, JANE ECCO4801666
ACCESS MEDIA ADVISORY LLCMEMBER
GENDRON, KAREN MARIEFINOP1503330

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

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672White Plains, NY 10601

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