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TG

Timothy J. Gallagher

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CRD#: 6376979
TG

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.

Timothy James Gallagher was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2014. Timothy had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 6 and Series 30 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

March 31, 2017 - December 1, 2017

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
STAMFORD, CT
Past

December 16, 2014 - March 2, 2016

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
CHANHASSEN, MN

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
IAR
Series 65
Date: 2/3/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/12/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/16/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 1/26/2017
NFA Branch Manager Examination

Current Firm

VB
VISION BROKERAGE SERVICES, LLC
VISION | VISION INVESTOR SERVICES, LLC | VISION BROKERAGE SERVICES, LLC

CRD#: 47927 / SEC#: , 8-51966

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

Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Phone number
(203) 388-2700
Established
New York since 06/22/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 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#
BOSHNACK, ROBERT MARTINCLASS A MEMBER
ROTHMAN, HOWARD MARTINCLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER1098190
HERRITT, JOSHUA DAVIDVP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP6205459
KARAFA, JOHN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP2927594
MARTINEZ, ANAVP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL5288054

Disclosures

Regulatory Event4

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

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

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