Naun Galvan
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.
Naun Galvan was a registered financial professional .
Naun is a previously registered financial professional and started their career in finance in 2004. Naun had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 55, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - October 14, 2019
1ST GLOBAL ADVISORS INC
May 29, 2018 - October 14, 2019
1ST GLOBAL CAPITAL CORP.
May 10, 2007 - August 23, 2011
KESTRA INVESTMENT SERVICES, LLC
May 17, 2006 - June 20, 2006
J.P. MORGAN SECURITIES LLC
November 23, 2005 - May 1, 2006
DEUTSCHE BANK SECURITIES INC.
June 16, 2005 - November 10, 2005
U.S. BANCORP ADVISORS, LLC
February 27, 2004 - June 9, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
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
Series 52TO
Date: 10/30/2018
Municipal Securities Representative ExaminationSeries 55
Date: 12/7/2004
Limited Representative-Equity Trader ExamCurrent Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
