Richard V. Mcgalliard
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.
Richard Vance Mcgalliard was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 15, Series 5, Series 1, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2014 - February 7, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 17, 2014 - February 7, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 13, 2013 - June 19, 2014
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - June 19, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 10, 2009 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 5, 2009 - June 8, 2009
MORGAN KEEGAN & COMPANY, LLC
June 5, 2009 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 20, 2007 - June 15, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 28, 2006 - June 15, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 13, 2003 - May 1, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - May 1, 2006
WELLS FARGO CLEARING SERVICES, LLC
December 4, 1990 - June 15, 2002
WACHOVIA SECURITIES, INC.
August 25, 1989 - December 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1977 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 1, 1969 - March 17, 1977
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 12/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 1/15/1982
Interest Rate Options ExaminationSeries 1
Date: 3/27/1969
Registered Representative ExaminationSeries 12
Date: 10/28/1980
NYSE Branch Manager ExaminationCurrent Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
