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JG

James D. Galligan

Some features on this profile are disabled
CRD#: 5586155
JG

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.

James D Galligan was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2008. James had worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 7, 2009 - June 28, 2010

NORTH GLOBAL SECURITIES, INC.

BD
CRD#: 132918
NEWPORT BEACH, CA
Past

October 24, 2008 - January 16, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/30/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/12/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2008
General Securities Representative Examination

Current Firm

NG
NORTH GLOBAL SECURITIES, INC.
CNP SECURITIES, INC. | NORTH GLOBAL SECURITIES, INC.

CRD#: 132918 / SEC#: , 8-66663

BD
Terminated by SEC on 08/24/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/10/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAND ENTITLEMENT AND OPPORTUNITIES FUND, LLCOWNER
SALTER, JO ANNFINOP1504777
WILLIAMS, KEVIN ANTONYPRESIDENT, CCO, AMLCO2159172

Disclosures

Arbitration1

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

NORTH GLOBAL SECURITIES, INC.

CRD#: 132918

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