JL
Jesus Lopez-castaneda
GALLAGHER FIDUCIARY ADVISORS
Richmond, VA 23227
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CRD#: 5321488
JL
Professional summary
Jesus Lopez-castaneda is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Richmond, Virginia and OSAIC WEALTH, INC. located in Richmond, Virginia.
Jesus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jesus has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) f3Logic,LLC;investment related;11980 Portland Avenue South,Burnsville,MN 55337;llc;operations & tech integrations manager;9/3/2020;160 hrs/month;130 hrs during trading;oversee the day-to-day operations of the business,suport the ops team,support offices/advisors and facilitate training on technology platforms as needed 2) GALLAGHER FIDUCIARY ADVISORS, LLC POSITION: Director of Operations NATURE: It is a Registered Investment Advisor LLC (RIA) Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/19/2023 ADDRESS: 2850 Golf Road, Rolling Meadows IL 60008, United States DESCRIPTION: I oversee the day-to-day operations of the business, support the ops team, support offices/advisors under our RIA servicing agreements and facilitate training on technology platforms as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Jesus Lopez-castaneda's 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®
NoneExperience
Current
July 11, 2023 - Present
GALLAGHER FIDUCIARY ADVISORS, LLC
Office #1: 2104 West Laburnum Ave., Ste. 101, Richmond, VA 23227RIA
CRD#: 146509
Richmond, VA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2104 West Laburnum Ave Suite 101, Richmond, VA 23227RIA
BD
CRD#: 23131
Richmond, VA
Past
July 21, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Richmond, VA
Past
August 19, 2022 - July 14, 2023
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
RICHMOND, VA
Past
September 10, 2020 - May 19, 2023
F3LOGIC, LLC
RIA
CRD#: 289863
BURNSVILLE, MN
Past
February 14, 2018 - September 2, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Pasadena, CA
Past
February 13, 2018 - September 2, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Pasadena, CA
Past
January 6, 2010 - February 13, 2018
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
El Segundo, CA
Past
December 17, 2008 - February 13, 2018
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
El Segundo, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Nevada(8/23/2024)
IAR
Virginia(7/11/2023)
RR
Virginia(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2850 Golf Road, Rolling Meadows, IL 60008
Mailing Address
Phone number
(212) 330-1011
Established
Firm type
Fiscal year end
# of Employees
221
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
Red Flags
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Company Information
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509Richmond, VA 23227TRUST BUT VERIFY
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