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SA

Shalom Agalaba

FIDELITY & GUARANTY SECURITIES
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 7905763
SA

Professional summary

Shalom Agalaba is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.

Shalom is registered as a RR (Registered Representative) and started their career in finance in 2024. Shalom has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

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 Shalom Agalaba's 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

June 8, 2024 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave. Suite 2600, Des Moines, IA 50309
BD
CRD#: 315720
Des Moines, IA

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
Iowa
(8/20/2024)
RR
Texas
(8/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/8/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/5/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720 / SEC#: , 8-70916

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY & GUARANTY LIFE INSURANCE COMPANYDIRECT OWNER
ANDERSON, STEPHEN FRANCISCHIEF COMPLIANCE OFFICER AND AML OFFICER1181095
BARRETT, RONALD JOHN JRDIRECTOR2480222
CANTONWINE, TESSA ELIZABETHSECRETARY5626630
OLSON, THOMAS GCHIEF EXECUTIVE OFFICE AND DIRECTOR2393888
PHELPS, JOHN ADIRECTOR5664815
RIP, OLGAFINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER5440553

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

FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720Des Moines, IA 50309

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