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JG

Jeffrey K. Galvani

Some features on this profile are disabled
CRD#: 3048728
JG

Professional summary

Jeffrey Kenneth Galvani was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Jeffrey had worked at 8 firms, which includes CRITO CAPITAL LLC, WYNSTON HILL CAPITAL LLC, ROTHSCHILD LIEBERMAN LLC, EASTGATE SECURITIES LLC, J. STREICHER & CO. L.L.C., RAVEN SECURITIES CORP., DIRECT ACCESS PARTNERS LLC, THE GRISWOLD COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 3, 2022 - September 7, 2023

CRITO CAPITAL LLC

BD
CRD#: 161724
New York, NY
Past

May 7, 2020 - April 6, 2022

CRITO CAPITAL LLC

BD
CRD#: 161724
New York, NY
Past

August 24, 2017 - June 6, 2018

WYNSTON HILL CAPITAL, LLC

BD
CRD#: 103811
NEW YORK, NY
Past

April 29, 2015 - November 1, 2016

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
New York, NY
Past

May 1, 2014 - April 24, 2015

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

October 15, 2013 - May 2, 2014

J. STREICHER & CO. L.L.C.

BD
CRD#: 3526
NEW YORK, NY
Past

June 18, 2013 - October 11, 2013

RAVEN SECURITIES CORP.

BD
CRD#: 35201
NEW YORK, NY
Past

February 20, 2013 - June 19, 2013

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

October 1, 2000 - January 31, 2013

THE GRISWOLD COMPANY, INCORPORATED

BD
CRD#: 32944
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/18/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/17/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 10/17/2000
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/19/2008
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/14/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/14/2006
Financial and Operations Principal Examination

Current Firm

CC
CRITO CAPITAL LLC
CRITO CAPITAL LLC

CRD#: 161724 / SEC#: , 8-69050

Connecticut
Registered Investment Advisory firm - SEC (3/13/2024 Termination Requested)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
8 Wright Street Suite 107, Westport, CT 06880
Mailing Address
8 Wright Street Suite 107, Westport, CT 06880
Phone number
(203) 423-5600
Established
Connecticut since 05/23/2011
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
2

FINRA licenses (24 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CRITO HOLDINGS LLCSOLE OWNER OF CRITO CAPITAL LLC
BEATON, DANIEL STEWARTFINOP4240769
GESKE, DAVID MICHAELMANAGING PRINCIPAL2514685
GILLMAN, THEODORE JONESMANAGING PRINCIPAL, EXECUTIVE REP.2498623
MARSHALL, ANN MARIEPRINCIPAL6298134
OLEKSIW, EUNICECHIEF COMPLIANCE OFFICER3110818

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

CRITO CAPITAL LLC

CRD#: 161724

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