Adrian C. Galer
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.
Adrian C Galer, who also goes by Adrian Galer, was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 2019. Adrian had worked at 2 firms and has passed the Series 66, Series 99TO, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2021 - February 9, 2023
CARTA CAPITAL MARKETS, LLC
March 4, 2019 - June 22, 2021
MORGAN STANLEY
March 4, 2019 - June 22, 2021
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/19/2019
General Securities Representative ExaminationCurrent Firm
CARTA CAPITAL MARKETS, LLC
CRD#: 304751 / SEC#: , 8-70396
Contact information
Documents
Red Flags
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