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AG

Alexander Galunke

H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 5838309
AG

Professional summary

Alexander Galunke is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2010. Alexander has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 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) - BD

Click below to view Alexander Galunke's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 4, 2015 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
New York, NY
Past

March 28, 2014 - September 29, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

November 28, 2012 - October 18, 2013

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

October 8, 2012 - December 19, 2012

JOHN CARRIS INVESTMENTS LLC

BD
CRD#: 145767
HOBOKEN, NJ
Past

February 28, 2011 - February 8, 2012

ROCKWELL SECURITIES LLC

BD
CRD#: 142483
NEW YORK, NY
Past

August 30, 2010 - February 2, 2011

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alabama
(1/20/2018)
RR
Alaska
(1/20/2018)
RR
Arizona
(1/20/2018)
RR
Arkansas
(1/20/2018)
RR
California
(1/20/2018)
RR
Colorado
(1/20/2018)
RR
Connecticut
(1/20/2018)
RR
Delaware
(1/20/2018)
RR
District of Columbia
(1/20/2018)
RR
Florida
(1/20/2018)
RR
Georgia
(1/20/2018)
RR
Hawaii
(1/20/2018)
RR
Idaho
(1/20/2018)
RR
Illinois
(1/20/2018)
RR
Indiana
(1/20/2018)
RR
Iowa
(1/20/2018)
RR
Kansas
(1/20/2018)
RR
Kentucky
(1/20/2018)
RR
Louisiana
(1/20/2018)
RR
Maine
(1/20/2018)
RR
Maryland
(1/20/2018)
RR
Massachusetts
(1/20/2018)
RR
Michigan
(1/20/2018)
RR
Minnesota
(1/20/2018)
RR
Mississippi
(1/20/2018)
RR
Missouri
(1/20/2018)
RR
Montana
(1/20/2018)
RR
Nebraska
(1/20/2018)
RR
Nevada
(1/20/2018)
RR
New Hampshire
(1/20/2018)
RR
New Jersey
(1/20/2018)
RR
New Mexico
(1/20/2018)
RR
New York
(9/4/2015)
RR
North Carolina
(1/22/2018)
RR
North Dakota
(1/20/2018)
RR
Ohio
(1/21/2018)
RR
Oklahoma
(1/20/2018)
RR
Oregon
(1/20/2018)
RR
Pennsylvania
(1/20/2018)
RR
Puerto Rico
(1/20/2018)
RR
Rhode Island
(1/20/2018)
RR
South Carolina
(1/20/2018)
RR
South Dakota
(1/20/2018)
RR
Tennessee
(5/3/2019)
RR
Texas
(1/20/2018)
RR
Utah
(1/20/2018)
RR
Vermont
(1/20/2018)
RR
Virgin Islands
(12/11/2018)
RR
Virginia
(1/20/2018)
RR
Washington
(1/20/2018)
RR
West Virginia
(1/20/2018)
RR
Wisconsin
(1/20/2018)
RR
Wyoming
(1/20/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/29/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

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