Gina T. Galang
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.
Gina Tuazaon Galang, who also goes by Gina Galang, Jaena Gina Tuazon Galang, Jaenagina Tuazon Galang, Gina T Galang, Gina Tuazon Galang, Gina Galang, was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 1999. Gina had worked at 9 firms and has passed the Series 66, 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
April 26, 2023 - October 22, 2025
J.P. MORGAN SECURITIES LLC
April 26, 2023 - October 22, 2025
J.P. MORGAN SECURITIES LLC
December 18, 2017 - May 19, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
December 18, 2017 - May 19, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 30, 2015 - January 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2015 - January 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2009 - June 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2009 - June 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2008 - October 23, 2008
SECURITIES AMERICA, INC.
September 1, 2004 - June 5, 2008
J.P. MORGAN SECURITIES LLC
August 13, 2004 - June 5, 2008
J.P. MORGAN SECURITIES LLC
July 3, 2003 - August 5, 2004
MORGAN STANLEY DW INC.
July 3, 2003 - August 5, 2004
MORGAN STANLEY DW INC.
January 27, 2003 - July 25, 2003
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - July 25, 2003
CREDIT SUISSE SECURITIES (USA) LLC
November 20, 2000 - January 17, 2003
PERSHING LLC
December 17, 1999 - November 30, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
