Adam F. Gallen
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.
Adam Fitzgerald Gallen was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2002. Adam had worked at 6 firms and has passed the Series 63, Series 7TO, 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 15, 2017 - June 8, 2020
MCLEAN SECURITIES, LLC
June 18, 2012 - December 2, 2016
SOURCE CAPITAL GROUP, INC.
November 22, 2011 - May 25, 2012
CAPPELLO CAPITAL CORP.
November 16, 2007 - December 14, 2009
FINSEC, LLC
June 14, 2004 - January 5, 2007
JEFFERIES LLC
August 29, 2002 - June 2, 2004
GLC SECURITIES 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
Series 7TO
Date: 6/30/2024
General Securities Representative ExaminationCurrent Firm
MCLEAN SECURITIES, LLC
CRD#: 104117 / SEC#: , 8-52565
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MCLEAN GROUP, LLC | PARENT | |
| MARTIN, MITCHELL ZACHARY | CCO | 4993937 |
| SMITH, ANDREW CLIFFORD | FINOP |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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