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JG

Jacob A. Gallagher

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 6699216
JG

Professional summary

Jacob Anthony Gallagher is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2016. Jacob has worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.

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 Jacob Anthony Gallagher'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

February 11, 2026 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

January 5, 2024 - October 17, 2025

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
Salt Lake City, UT
Past

December 22, 2023 - December 31, 2023

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

October 12, 2021 - December 22, 2023

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

January 27, 2021 - September 8, 2021

NORTH CAPITAL

RIA
CRD#: 148802
SALT LAKE CITY, UT
Past

March 1, 2019 - December 31, 2020

NORTH CAPITAL

RIA
CRD#: 148802
SALT LAKE CITY, UT
Past

July 25, 2018 - September 8, 2021

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

January 2, 2018 - June 1, 2018

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
Wilmington, NC
Past

June 6, 2017 - December 20, 2017

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
WILMINGTON, NC
Past

March 29, 2017 - December 20, 2017

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
WILMINGTON, NC
Past

October 7, 2016 - December 13, 2016

ABSOLUTE ALPHA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 166234
Wilmington, NC

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
California
(2/12/2026)
RR
Utah
(2/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/29/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/23/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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

Main Address
450 Lexington Ave, New York, NY 10017
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# 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#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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

FINALIS SECURITIES LLC

CRD#: 305908San Juan Capistrano, CA

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