Daniel A Gallegos
Professional Summary
Daniel A Gallegos, who also goes by Dan A Gallegos, Danny A Gallegos, is a registered financial advisor currently at LLOYDS SECURITIES located in New York, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2014. Daniel has worked at 2 firms and has passed the SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan A Gallegos, Danny A Gallegos
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LLOYDS SECURITIES | LLOYDS SECURITIES INC.
Contact Information
Main Address
1095 Avenue Of The Americas, New York, NY 10036Mailing Address
1095 Avenue Of The Americas, New York, NY 10036Phone Number
(212) 450-0800Established
Delaware since 03/11/2010Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | — |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| FRIIS, PIA | CHIEF LEGALOFFICER/CHIEF RISKOFFICER | 5171132 |
| HILTON, ANNE DEBORAH | CHIEF COMPLIANCE OFFICER | 7061903 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO OF NORTH AMERICA FOR LLOYDS BANK CORPORATE MARKETS NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel A Gallegos's CRS (Customer Relationship Summary).
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