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DG

David Galarza-sosa

GAMMA SECURITIES
San Juan, PR 00901
Some features on this profile are disabled
CRD#: 5221334
DG

Professional summary

David Galarza-sosa, who also goes by David Galarza, is a registered financial professional currently at GAMMA SECURITIES, LLC located in San Juan, .

David is registered as a RR (Registered Representative) and started their career in finance in 2009. David has worked at 4 firms and has passed the SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Galarza

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) - BD

Click below to view David Galarza-sosa's CRS (Customer Relationship Summary).
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

April 12, 2022 - Present

GAMMA SECURITIES, LLC

Office #1: 500 Calle De La Tanca Ochoa Building, San Juan, PR 00901
BD
CRD#: 298341
San Juan, PR
Past

August 16, 2017 - April 12, 2022

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
SAN JUAN, PR
Past

August 8, 2011 - February 17, 2016

SANTANDER SECURITIES LLC

BD
CRD#: 41791
San Juan, PR
Past

October 22, 2009 - August 11, 2011

POPULAR SECURITIES, LLC

BD
CRD#: 8096
SAN JUAN, PR

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
Puerto Rico
(4/12/2022)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/1/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GAMMA SECURITIES, LLC
GAMMA SECURITIES, INC. | GAMMA SECURITIES, LLC

CRD#: 298341 / SEC#: , 8-70195

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

Main Address
500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901
Mailing Address
500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901
Phone number
(787) 957-3260
Established
Puerto Rico since 06/25/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GAMMA INTERNATIONAL BANK, INCOWNER
DE JESUS CARMONA, MARIA EUGENIAFINOP7379892
GALARZA-SOSA, DAVIDCHIEF COMPLIANCE OFFICER/AMLCO5221334
TRONCOSO ACEBAL, MANUEL PELAYOCHIEF EXECUTIVE OFFICER/PRESIDENT6230010

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

GAMMA SECURITIES, LLC

CRD#: 298341San Juan, PR 00901

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