Matthew J. Gallagher
Professional summary
Matthew J Gallagher, who also goes by Matthew J Gallagher, Matthew James Gallagher, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1995. Matthew has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew J Gallagher's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2018 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281January 19, 2017 - May 3, 2018
CAPITAL ONE ADVISORS, LLC
January 17, 2017 - May 3, 2018
CAPITAL ONE INVESTING, LLC
July 22, 2016 - October 19, 2016
EDWARD JONES
July 3, 2008 - November 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2008 - November 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2006 - October 24, 2007
OPPENHEIMER & CO. INC.
June 1, 1999 - November 1, 2005
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1997 - June 8, 1999
LEHMAN BROTHERS INC.
December 8, 1995 - October 7, 1996
FINANCIAL NORTHEASTERN SECURITIES, 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
(6/11/2018)
Exams
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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