Geraldo Galindo
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.
Geraldo Galindo, who also goes by Geraldo Ignacio Galindo, was a registered financial professional .
Geraldo is a previously registered financial professional and started their career in finance in 2008. Geraldo had worked at 5 firms and has passed the Series 57TO, 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
April 19, 2024 - May 18, 2026
CASEY SECURITIES LLC
July 25, 2022 - September 13, 2022
CASEY SECURITIES LLC
August 31, 2021 - July 29, 2024
RFA SECURITIES LLC
June 17, 2020 - August 13, 2021
TJM INVESTMENTS, LLC
March 23, 2020 - April 1, 2020
TJM INVESTMENTS, LLC
April 9, 2012 - July 1, 2020
TRINITY EXECUTIONS, LLC
April 24, 2008 - February 23, 2012
LAKESHORE SECURITIES, L.P.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
CASEY SECURITIES LLC
CRD#: 35230 / SEC#: , 8-21205
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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