Jacob A. Gallagher

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CRD#: 6699216

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.

Jacob Anthony Gallagher was a registered financial professional .

Jacob is a previously registered financial professional and started their career in finance in 2016. Jacob had worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

January 5, 2024 - October 17, 2025

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

Salt Lake City, UT

Past

December 22, 2023 - December 31, 2023

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

October 12, 2021 - December 22, 2023

RAINMAKER SECURITIES, LLC

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

CRD#: 154559

SALT LAKE CITY, UT

Past

January 2, 2018 - June 1, 2018

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

Wilmington, NC

Past

June 6, 2017 - December 20, 2017

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

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

Series 99TO

Date: 2/23/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2018

General Securities Principal Examination

Current Firm

INDEPENDENT BROKERAGE SOLUTIONS LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

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

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Contact information

Main Address

485 Madison Avenue 15th Floor, New York, NY 10022

Mailing Address

485 Madison Avenue 15th Floor, New York, NY 10022

Phone number

(212) 751-4424

Established

New York since 12/21/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DFP PARTNERS CPA, P.C.	MEMBER
FORTINO, ANGELINA	FINOP/ PFO/CFO	6869135
STEINBERG, MICHAEL NMN	CEO/CCO	1062776

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Jacob A. Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAINMAKER SECURITIES, LLC

RAINMAKER SECURITIES, LLC

NORTH CAPITAL

NORTH CAPITAL

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

WORDEN CAPITAL MANAGEMENT LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

ABSOLUTE ALPHA CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/2017

Series 65

Date: 7/29/2016

Series 99TO

Date: 2/23/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2017

Series 24

Date: 11/1/2018

Current Firm

INDEPENDENT BROKERAGE SOLUTIONS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INDEPENDENT BROKERAGE SOLUTIONS LLC

TRUST BUT VERIFY

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