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WG

Wilhelmina A. Gales

THREADMARK LP
London, W1K 4QN
Some features on this profile are disabled
CRD#: 2951268
WG

Professional summary


Wilhelmina Anna M Gales, who also goes by Anne Gales, Wilhelmina Anna Maria Gales, Wilhelmina Anne Gales, Wilhelmina Anne M Gales, Wilhelmina Anne M. Gales, is a registered financial professional currently at THREADMARK LP .

Wilhelmina is registered as a RR (Registered Representative) and started their career in finance in 1997. Wilhelmina has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 82, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Anne Gales | Wilhelmina Anna Maria Gales | Wilhelmina Anne Gales | Wilhelmina Anne M Gales | Wilhelmina Anne M. Gales

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 Wilhelmina Anna M Gales's 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

September 8, 2015 - Present

THREADMARK LP

Office #1: 24 Grosvenor Street 2nd Floor, London, W1K 4QN
BD
CRD#: 173318
London,
Past

October 14, 2011 - November 13, 2012

PARK MADISON PARTNERS LLC

BD
CRD#: 140016
PORT WASHINGTON, NY
Past

November 28, 2007 - September 24, 2009

EATON PARTNERS, LLC

BD
CRD#: 31170
LONDON,
Past

April 21, 2000 - February 14, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

November 29, 1997 - April 12, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 6, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
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
California
(10/6/2015)
RR
Connecticut
(10/14/2015)
RR
Florida
(1/26/2017)
RR
Illinois
(10/13/2015)
RR
Maryland
(10/21/2015)
RR
New York
(9/10/2015)
RR
Ohio
(10/13/2015)
RR
Virginia
(10/15/2015)

Exams


State Security Law Exam
RR
Series 63
Date: 7/23/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


TL
THREADMARK LP
THREADMARK LP

CRD#: 173318 / SEC#: , 8-69535

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


Main Address
300 Park Avenue 2nd Floor, New York, NY 10022
Mailing Address
300 Park Avenue 2nd Floor, New York, NY 10022
Phone number
(917) 397-2301
Established
Delaware since 04/22/2014
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)


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

Documents


Direct owners and executive officers


NamePositionCRD#
THREADMARK GP, LLCGENERAL PARTNER
AHUJA, AJAYCFO/COO/POO2720807
CHAPMAN, BRUCE HUNTLEACCO5062739
GALES, WILHELMINA ANNA MCEO2951268
ROCHE, PASCALFINOP/PFO5920968

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


THREADMARK LP

CRD#: 173318London, W1K 4QN

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