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NG

Neil Gallagher

COINBASE CAPITAL MARKETS CORP
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4165034
NG

Professional summary

Neil Gallagher, who also goes by Neil Bernard Gallagher, is a registered financial professional currently at COINBASE CAPITAL MARKETS CORP located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2000. Neil has worked at 7 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE, Series 55, Series 21, Series 7, Series 25, Series 14A, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neil Bernard Gallagher

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 Neil Gallagher'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

March 18, 2025 - Present

COINBASE CAPITAL MARKETS CORP

Office #1: One Madison Ave 24th Fl, New York, NY 10010
BD
CRD#: 10722
NEW YORK, NY
Past

September 18, 2019 - November 30, 2023

COINBASE SECURITIES, INC.

BD
CRD#: 151143
NEW YORK, NY
Past

January 25, 2018 - June 25, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 4, 2016 - March 21, 2017

GTS SECURITIES LLC

BD
CRD#: 149224
New York, NY
Past

August 25, 2009 - December 28, 2015

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

December 1, 2008 - April 27, 2016

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 23, 2001 - March 24, 2009

BEAR WAGNER SPECIALISTS LLC

BD
CRD#: 32691
NEW YORK, NY
Past

April 3, 2000 - April 23, 2001

WSM HOLDINGS, L.L.C.

BD
CRD#: 31352
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
IAR
Series 66
Date: 8/23/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/6/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 21
Date: 5/21/2002
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 7
Date: 1/17/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 7/11/2000
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 14A
Date: 4/21/2016
Compliance Official Specialist Exam
Principal/Supervisory Exam
RR
Series 4
Date: 12/18/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COINBASE CAPITAL MARKETS CORP
ADVANCED FINANCIAL PARTNERS | TAX SHELTERS SECURITIES CORPORATION | STEWART FINANCIAL SERVICES | RDD WEALTH MANAGEMENT | OPEN NETWORK FINANCIAL CONSULTING | KEYSTONE DIVERSIFIED SECURITIES | KEYSTONE CAPITAL CORPORATION | COINBASE CAPITAL MARKETS CORP | COINBASE CAPITAL MARKETS | AUOUR ADVISORY, LLC

CRD#: 10722 / SEC#: 801-78249, 8-28032

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

Main Address
One Madison Ave Suite 230, San Diego, CA 92130
Mailing Address
One Madison Ave 24th Fl, New York, NY 10010
Phone number
(858) 348-4405
Established
California since 06/18/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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

Part 2 Brochures

KEYSTONE CAPITAL CORPORATION ADV PART 2A (9/22/2015)

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
PLUMMER, CHRISTINE MARIEFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL OPERATIONS OFFICER2903362
TUSAR, GREGORY ALEXANDERCEO2426485

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

COINBASE CAPITAL MARKETS CORP

CRD#: 10722New York, NY 10010

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