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WG

William S. Galle

BRADLEY WOODS & CO. LTD.
New York, NY 10022
Some features on this profile are disabled
CRD#: 725728
WG

Professional summary

William Simon Galle, who also goes by William Galle, is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1981. William has worked at 9 firms and has passed the Series 63, Series 66, Series 65, Series 79TO, SIE, Series 3, Series 18 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Galle

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 William Simon Galle'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

May 11, 2010 - Present

BRADLEY WOODS & CO. LTD.

Office #1: 845 Third Ave, Suite 1703, New York, NY 10022
BD
CRD#: 13660
New York, NY
Past

October 22, 2008 - October 22, 2009

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

June 4, 2007 - October 3, 2007

BELMONT PARTNERS SECURITIES INC.

BD
CRD#: 30189
WASHINGTON, VA
Past

July 26, 2006 - December 31, 2006

DIVERSIFIED PORTFOLIO STRATEGIES, LLC

RIA
CRD#: 133197
WASHINGTON DC, DC
Past

October 26, 2004 - August 4, 2005

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

July 6, 2001 - November 22, 2002

AIA CAPITAL MARKETS LLC

BD
CRD#: 44156
NEW YORK, NY
Past

April 6, 1995 - November 27, 2000

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

March 28, 1982 - April 26, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 22, 1981 - March 15, 1982

RIVIERE SECURITIES CORPORATION

BD
CRD#: 715
Past

March 17, 1981 - June 24, 1985

WILLIAM & CO. CAPITAL MARKETS LTD.

BD
CRD#: 8382

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
(6/24/2021)
RR
Delaware
(6/24/2021)
RR
Maryland
(6/24/2021)
RR
New York
(6/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/22/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/20/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/22/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 18
Date: 9/19/1981
Securities Industry Rules and Regulations Examination
General Industry/Product Exam
RR
Series 2
Date: 8/29/1978
Non-Member General Securities Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 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#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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

BRADLEY WOODS & CO. LTD.

CRD#: 13660New York, NY 10022

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