William P. Gallagher
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.
William Patrick Gallagher, who also goes by Bill Patrick Gallagher, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2012. William had worked at 6 firms and has passed the Series 66, 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
October 30, 2015 - July 6, 2016
TRADEWINDS GLOBAL INVESTORS, LLC
January 27, 2014 - October 30, 2015
NUVEEN ASSET MANAGEMENT, LLC
January 27, 2014 - July 6, 2016
NUVEEN SECURITIES, LLC
May 20, 2013 - January 3, 2014
INVESCO ADVISERS, INC.
April 24, 2013 - January 3, 2014
INVESCO DISTRIBUTORS, INC.
July 24, 2012 - April 15, 2013
GREAT POINT CAPITAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
TRADEWINDS GLOBAL INVESTORS, LLC
CRD#: 138476 / SEC#: 801-65208
Contact information
Red Flags
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