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HG

Hector J. Gallardo

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CRD#: 4617763
HG

Professional summary

Hector J Gallardo was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Hector is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Hector had worked at 4 firms, which includes ORION TRADING LLC, GREAT EASTERN SECURITIES INC., S.W. BACH & COMPANY, MAX INTERNATIONAL BROKER/DEALER CORP..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2007 - October 5, 2007

ORION TRADING, LLC

BD
CRD#: 43932
NEW YORK, NY
Past

August 24, 2004 - January 12, 2007

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

June 18, 2003 - August 9, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

January 2, 2003 - June 19, 2003

MAX INTERNATIONAL BROKER/DEALER CORP.

BD
CRD#: 46039
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
Series 63
Date: 6/6/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/2002
General Securities Representative Examination

Current Firm

OT
ORION TRADING, LLC
BANFERS EUROPE | ORION TRADING, LLC | ORION TRADING, INC. | BROKERLATINO.COM | BROKERLATINO SECURITIES | BROKERLATINO | BANFERS SECURITIES

CRD#: 43932 / SEC#: , 8-50484

BD
Cancelled by SEC on 09/28/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/14/2000
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FERNANDEZ, JOSE GREGORIOSHAREHOLDER2960680
ZURITA, MICHAEL ANTONIOSHAREHOLDER1659844
LAWAND, MICHAEL SALVADORSHAREHOLDER5794216
BEAVIN, PAUL THEODOREPRINCIPAL CCO4493059
SOLOMON, DAWN MARIEFINOP1467794

Disclosures

Regulatory Event7

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

ORION TRADING, LLC

CRD#: 43932

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