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JG

Jonathan Galan

STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
Some features on this profile are disabled
CRD#: 4409873
JG

Professional summary

Jonathan Galan, who also goes by Jon Galan, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Galan

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.
Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Galan's 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

October 4, 2024 - Present

STATE STREET GLOBAL MARKETS, LLC

Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016
BD
CRD#: 285852
Boston, MA
Past

September 28, 2017 - April 2, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

July 19, 2017 - April 2, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

July 7, 2017 - July 17, 2017

MORGAN STANLEY

BD
CRD#: 149777
BEVERLY HILLS, CA
Past

December 22, 2010 - July 18, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

September 8, 2009 - February 12, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

January 2, 2009 - September 10, 2009

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
LOS ANGELES, CA
Past

October 16, 2007 - December 31, 2008

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
LOS ANGELES, CA
Past

October 16, 2007 - January 2, 2009

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

August 17, 2006 - November 2, 2007

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
LOS ANGELES, CA
Past

October 11, 2004 - August 10, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PASADENA, CA
Past

May 9, 2003 - March 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

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
(11/12/2024)
RR
Alaska
(11/14/2024)
RR
Arizona
(11/27/2024)
RR
Arkansas
(11/13/2024)
RR
California
(11/4/2024)
RR
Colorado
(11/13/2024)
RR
Connecticut
(11/13/2024)
RR
Delaware
(11/18/2024)
RR
District of Columbia
(11/19/2024)
RR
Florida
(11/13/2024)
RR
Georgia
(11/13/2024)
RR
Idaho
(11/13/2024)
RR
Illinois
(3/24/2025)
RR
Indiana
(11/13/2024)
RR
Iowa
(11/18/2024)
RR
Kansas
(11/12/2024)
RR
Kentucky
(11/18/2024)
RR
Louisiana
(11/15/2024)
RR
Maine
(11/13/2024)
RR
Maryland
(11/21/2024)
RR
Massachusetts
(11/4/2024)
RR
Michigan
(11/14/2024)
RR
Minnesota
(11/12/2024)
RR
Mississippi
(11/20/2024)
RR
Missouri
(11/13/2024)
RR
Montana
(11/14/2024)
RR
Nebraska
(11/12/2024)
RR
Nevada
(11/12/2024)
RR
New Hampshire
(11/14/2024)
RR
New Jersey
(11/12/2024)
RR
New Mexico
(11/13/2024)
RR
New York
(11/12/2024)
RR
North Carolina
(11/13/2024)
RR
North Dakota
(11/18/2024)
RR
Ohio
(11/13/2024)
RR
Oklahoma
(11/12/2024)
RR
Oregon
(11/14/2024)
RR
Pennsylvania
(11/13/2024)
RR
Puerto Rico
(11/18/2024)
RR
Rhode Island
(11/13/2024)
RR
South Carolina
(11/15/2024)
RR
South Dakota
(11/12/2024)
RR
Tennessee
(11/13/2024)
RR
Texas
(11/13/2024)
RR
Utah
(11/13/2024)
RR
Vermont
(11/13/2024)
RR
Virgin Islands
(11/13/2024)
RR
Virginia
(11/14/2024)
RR
Washington
(11/12/2024)
RR
West Virginia
(11/18/2024)
RR
Wisconsin
(11/19/2024)
RR
Wyoming
(11/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/28/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/3/2003
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC

CRD#: 285852 / SEC#: , 8-69862

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

Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET CORPORATIONPARENT COMPANY
BAMBINO, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER4237874
CHARLAND, JOSEPH LEONARDDIRECTOR5183891
FISCHER, MARTIN ROBERTCHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER1692872
FORTUNA, GREGORY PAULDIRECTOR3168105
MAXHAM, DAVID GOULDDIRECTOR6372664
MCKEON, ROBERT ADIRECTOR7638847
MORGAN, DANIEL ROBERTCHIEF EXECUTIVE OFFICER2743457
SIGLAIN, TARYN ANNDIRECTOR5163466
SOR, LYDIRECTOR7996223
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280

Disclosures

Regulatory Event4

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

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852Boston, MA 02114-2016

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