Claire Marie Z. Gallagan
Professional summary
Claire Marie Zara Gallagan, who also goes by Claire Marie Z Gallagan, Claire Marie Zara Gallagan, Clairemarie Gallagan, Claire Marie Conti Zara, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Claire Marie is registered as a RR (Registered Representative) and started their career in finance in 2014. Claire Marie has worked at 3 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Claire Marie Zara Gallagan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 17, 2022 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101May 8, 2020 - February 16, 2022
RIVERSOURCE DISTRIBUTORS, INC.
January 4, 2016 - September 6, 2017
RIVERSOURCE DISTRIBUTORS, INC.
September 12, 2014 - January 21, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 5/8/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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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Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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