Jose M. Galimidi
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.
Jose M Galimidi, who also goes by Jose Galimidi, Joseph M Galimidi, Joseph Galimidi, Jose Mauricio Galimidi, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2002. Jose had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2022 - August 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2021 - August 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2020 - February 17, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 13, 2020 - September 2, 2020
RAYMOND JAMES & ASSOCIATES, INC.
August 23, 2013 - August 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2013 - August 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2010 - July 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2010 - July 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 28, 2009 - March 15, 2010
LPL FINANCIAL LLC
October 13, 2009 - March 15, 2010
LPL FINANCIAL LLC
November 30, 2007 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
November 30, 2007 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
January 3, 2007 - December 19, 2007
PRUCO SECURITIES, LLC.
December 14, 2006 - December 19, 2007
PRUCO SECURITIES, LLC.
February 8, 2006 - November 20, 2006
HSBC SECURITIES (USA) INC.
March 17, 2004 - December 12, 2005
PRUCO SECURITIES, LLC.
July 31, 2002 - December 12, 2005
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
