Edwin Gallegos
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.
Edwin Gallegos, who also goes by Edwin R Gallegos, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 2008. Edwin had worked at 6 firms and has passed the Series 63, SIE 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
February 27, 2015 - March 28, 2016
LAMPERT CAPITAL MARKETS INC.
June 27, 2014 - February 17, 2015
COLUMBUS ADVISORY GROUP, LTD.
January 3, 2013 - June 25, 2014
BLACKBOOK CAPITAL, LLC
October 5, 2010 - January 23, 2013
CHARLES VISTA LLC
March 24, 2009 - September 24, 2010
JOHN THOMAS FINANCIAL
August 1, 2008 - February 26, 2009
JOSEPH GUNNAR & CO. 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
Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
