Scot S. Galvin

ROBINHOOD SECURITIES

Lake Mary, FL 32746

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CRD#: 3226179

Professional summary

Scot Sean Galvin is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida and ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.

Scot is registered as a RR (Registered Representative) and started their career in finance in 1999. Scot has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Scot Sean Galvin's CRS (Customer Relationship Summary).

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

November 21, 2017 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

CRD#: 287900

Lake Mary, FL

Current

August 15, 2022 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746

CRD#: 165998

Lake Mary, FL

Past

April 10, 2018 - February 4, 2020

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Lake Mary, FL

Past

November 18, 2015 - March 30, 2016

MB TRADING

CRD#: 30330

Charlotte, NC

Past

July 19, 2012 - December 20, 2012

ZECCO TRADING, INC.

CRD#: 135398

GLENDALE, CA

Past

November 29, 2005 - November 9, 2017

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

Past

March 7, 2005 - July 6, 2005

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

October 25, 2000 - May 9, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 23, 1999 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

CRD#: 34925

SAN FRANCISCO, CA

Past

July 19, 1999 - September 20, 1999

JWGENESIS FINANCIAL GROUP, INC

CRD#: 38166

BOCA RATON, FL

State Registrations and Notice Filings

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

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

Alabama
(7/23/2024)

Alaska
(7/23/2024)

Arizona
(7/23/2024)

Arkansas
(7/23/2024)

California
(7/23/2024)

Colorado
(7/23/2024)

Connecticut
(7/23/2024)

Delaware
(7/23/2024)

District of Columbia
(7/23/2024)

Florida
(12/7/2017)

Georgia
(7/23/2024)

Hawaii
(7/23/2024)

Idaho
(7/23/2024)

Illinois
(7/23/2024)

Indiana
(7/23/2024)

Iowa
(7/23/2024)

Kansas
(7/23/2024)

Kentucky
(7/23/2024)

Louisiana
(7/23/2024)

Maine
(7/23/2024)

Maryland
(7/23/2024)

Massachusetts
(7/23/2024)

Michigan
(7/23/2024)

Minnesota
(7/23/2024)

Mississippi
(7/23/2024)

Missouri
(7/23/2024)

Montana
(7/23/2024)

Nebraska
(7/23/2024)

Nevada
(7/23/2024)

New Hampshire
(7/23/2024)

New Jersey
(7/23/2024)

New Mexico
(7/23/2024)

New York
(7/23/2024)

North Carolina
(7/23/2024)

North Dakota
(7/23/2024)

Ohio
(7/24/2024)

Oklahoma
(7/23/2024)

Oregon
(7/23/2024)

Pennsylvania
(7/23/2024)

Puerto Rico
(7/23/2024)

Rhode Island
(7/23/2024)

South Carolina
(7/23/2024)

South Dakota
(7/23/2024)

Tennessee
(7/23/2024)

Texas
(7/23/2024)

Utah
(7/23/2024)

Vermont
(7/23/2024)

Virgin Islands
(7/23/2024)

Virginia
(7/23/2024)

Washington
(7/23/2024)

West Virginia
(7/23/2024)

Wisconsin
(7/23/2024)

Wyoming
(7/23/2024)

Exams

State Security Law Exam

Series 63

Date: 11/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/8/2022

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/9/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Mailing Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Phone number

(650) 761-7789

Established

Delaware since 08/24/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ROBINHOOD MARKETS, INC	100% OWNER
BILLINGS, MATTHEW JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1915377
CAVALLARO, ANTHONY JOSEPH	CHIEF COMPLIANCE OFFICER	1607925
GALVIN, SCOT SEAN	PRINCIPAL OPERATIONS OFFICER	3226179
KELATI, DANIEL T	CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP	3103432
KOLLER, WALTER	CHIEF OPERATING OFFICER	1932260
QUIRK, STEVEN MARK	MANAGER	2728768
SUBRAMANIAN, SIVARAMAKRISHNAN	MANAGER	7339479

Disclosures

Regulatory Event	55
Arbitration	6

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.

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Firm Stability Insights

Scot S. Galvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scot Sean Galvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINHOOD FINANCIAL, LLC

ROBINHOOD FINANCIAL, LLC

MB TRADING

ZECCO TRADING, INC.

ALLY INVEST SECURITIES LLC

SALOMON GREY FINANCIAL CORPORATION

MORGAN STANLEY DW INC.

MORGAN STANLEY DEAN WITTER ONLINE INC.

JWGENESIS FINANCIAL GROUP, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2005

Series 27

Date: 7/8/2022

Series 4

Date: 10/9/2012

Series 24

Date: 11/8/2007

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBINHOOD FINANCIAL, LLC

TRUST BUT VERIFY

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