Thomas J. 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.
Thomas Joseph Gallagher, who also goes by Thomas J Gallagher, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - March 31, 2015
ROCKDALE SECURITIES, LLC
April 3, 2012 - June 18, 2013
TSG SPECTRUM CAPITAL ADVISORS, LLC
December 22, 2008 - July 13, 2010
MORGAN JOSEPH TRIARTISAN LLC
September 29, 2006 - February 3, 2009
LEGEND MERCHANT GROUP, INC.
July 1, 2003 - July 3, 2006
WELLS FARGO SECURITIES, LLC
February 21, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 4, 1998 - July 16, 1999
CIBC WORLD MARKETS CORP.
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
ROCKDALE SECURITIES, LLC
CRD#: 169798 / SEC#: , 8-69392
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DARK ROOM PARTNERS, LLC | OWNER | |
| FULHAM INVESTMENT PARTNERS, LLC | OWNER | |
| GOAL PARTNERS, LLC | OWNER | |
| BRICKS PARTNERS, LLC | OWNER | |
| CLD PARTNERS, LLC | OWNER | |
| BADALAMENTI, CHARLES RICHARD | FINANCIAL AND OPERATIONS PRINCIPAL | 2065038 |
| GARRETT, TAYLOR WESTON | PRESIDENT | 4829547 |
| HART, ADRIENNE YOST | CHIEF COMPLIANCE OFFICER | 1510179 |
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.
