Daniel P. Gallagher
Professional summary
Daniel Patrick Gallagher III, who also goes by Patrick Gallagher, Daniel Patrick Gallagher, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Santa Monica, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Patrick Gallagher III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1299 Ocean Avenue Suite 600, Santa Monica, CA 90401September 22, 2014 - October 12, 2021
NEUBERGER BERMAN BD LLC
August 4, 2014 - October 12, 2021
NEUBERGER BERMAN BD LLC
March 7, 2011 - June 4, 2014
CION SECURITIES, LLC
December 16, 2010 - March 10, 2011
HENNION & WALSH ASSET MANAGEMENT, INC.
August 24, 2009 - March 10, 2011
HENNION & WALSH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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