Joshua S. Galloway
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.
Joshua Shane Galloway, who also goes by Josh Galloway, Joshua S Galloway, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2006. Joshua had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2010 - October 25, 2013
GOLDMAN SACHS WEALTH SERVICES, L.P.
September 14, 2010 - October 25, 2013
MERCER ALLIED COMPANY, L.P.
March 19, 2009 - July 8, 2010
MSI FINANCIAL SERVICES, INC.
March 17, 2009 - July 8, 2010
MSI FINANCIAL SERVICES, INC.
February 15, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2006 - December 12, 2007
EDWARD JONES
August 29, 2006 - December 12, 2007
EDWARD JONES
Primary Firm SEC Registration
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
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
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,477 |
| AUM (Assets Under Management) | $ 25,958,285,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
