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JU

Jason P. Urban

GALAXY SECURITIES
NEW YORK, NY 10282
Some features on this profile are disabled
CRD#: 4075584
JU

Professional summary

Jason Peter Urban is a registered financial professional currently at GALAXY SECURITIES, LLC located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1999. Jason has worked at 7 firms and has passed the Series 63, Series 7TO, Series 57TO, Series 3, SIE, Series 7, Series 25 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Jason Peter Urban'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

February 27, 2025 - Present

GALAXY SECURITIES, LLC

Office #1: 300 Vesey Street 13th Floor, New York, NY, 10282
BD
CRD#: 330599
NEW YORK, NY
Past

April 18, 2023 - March 25, 2024

MMM SECURITIES LLC

BD
CRD#: 318021
NEW YORK, NY
Past

April 29, 2020 - December 31, 2020

ENTORO SECURITIES, LLC

BD
CRD#: 35192
HOUSTON, TX
Past

March 9, 2009 - May 14, 2018

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
CHICAGO, IL
Past

May 20, 2004 - February 25, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
CHICAGO, IL
Past

August 29, 2002 - May 10, 2004

SLK-HULL DERIVATIVES LLC

BD
CRD#: 46735
NEW YORK, NY
Past

December 7, 1999 - March 28, 2000

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX

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
Alabama
(4/15/2025)
RR
Alaska
(3/27/2025)
RR
Arizona
(7/11/2025)
RR
Arkansas
(10/6/2025)
RR
California
(3/28/2025)
RR
Colorado
(4/11/2025)
RR
Delaware
(4/22/2025)
RR
District of Columbia
(7/24/2025)
RR
Florida
(9/2/2025)
RR
Georgia
(4/28/2025)
RR
Hawaii
(6/6/2025)
RR
Idaho
(3/18/2025)
RR
Illinois
(9/17/2025)
RR
Indiana
(8/13/2025)
RR
Iowa
(3/14/2025)
RR
Kansas
(5/2/2025)
RR
Kentucky
(3/26/2025)
RR
Louisiana
(3/18/2025)
RR
Maine
(3/28/2025)
RR
Maryland
(5/12/2025)
RR
Massachusetts
(7/28/2025)
RR
Michigan
(5/19/2025)
RR
Minnesota
(7/10/2025)
RR
Mississippi
(4/1/2025)
RR
Missouri
(6/27/2025)
RR
Montana
(5/23/2025)
RR
Nebraska
(6/9/2025)
RR
Nevada
(3/18/2025)
RR
New Hampshire
(5/2/2025)
RR
New Jersey
(5/16/2025)
RR
New Mexico
(6/6/2025)
RR
New York
(3/17/2025)
RR
North Carolina
(4/1/2025)
RR
North Dakota
(6/26/2025)
RR
Ohio
(3/28/2025)
RR
Oklahoma
(3/18/2025)
RR
Oregon
(7/7/2025)
RR
Pennsylvania
(3/18/2025)
RR
Puerto Rico
(7/18/2025)
RR
Rhode Island
(3/20/2025)
RR
South Carolina
(6/30/2025)
RR
South Dakota
(5/20/2025)
RR
Tennessee
(6/9/2025)
RR
Texas
(11/13/2025)
RR
Utah
(3/18/2025)
RR
Vermont
(5/19/2025)
RR
Virgin Islands
(6/5/2025)
RR
Virginia
(9/19/2025)
RR
Washington
(3/19/2025)
RR
West Virginia
(6/4/2025)
RR
Wisconsin
(6/23/2025)
RR
Wyoming
(5/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 4/18/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 4/23/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 11/17/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/18/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GALAXY SECURITIES, LLC
GALAXY SECURITIES, LLC

CRD#: 330599 / SEC#: , 8-71232

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

Main Address
300 Vesey Street 13th Floor, New York, NY, 10282
Mailing Address
300 Vesey Street 13th Floor, New York, NY, 10282
Phone number
(212) 499-0081
Established
Delaware since 03/20/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GALAXY DIGITAL LPSOLE MEMBER
FALCO, FRANK PETERANTI-MONEY LAUNDERING COMPLIANCE OFFICER5146558
HARVEY, MIKE JREGISTERED OPTIONS PRINCIPAL4863310
PREVEZA, DOUGLAS JOHNCCO2692333
RICO, ROBERT DFINOP/PFO6613472
ROACH, PATRICK JOSEPHPOO2296361
URBAN, JASON PETERCEO4075584

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

GALAXY SECURITIES, LLC

CRD#: 330599New York, NY 10282

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