Geoffrey W. Loos
Professional summary
Geoffrey William Loos, who also goes by Geoff Loos, is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.
Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 2008. Geoffrey has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey William Loos's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2020 - Present
GALLATIN CAPITAL LLC
Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022October 22, 2008 - January 24, 2020
D.A. DAVIDSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/20/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
