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JL

John G. Layng

Some features on this profile are disabled
CRD#: 818551
JL

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.

John Gardiner Layng was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1975. John had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 24 and Series 8 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)

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

July 15, 2013 - January 6, 2026

GALLATIN CAPITAL LLC

BD
CRD#: 124738
NEW YORK, NY
Past

March 3, 2004 - June 26, 2013

FIVE MILE CAPITAL SECURITIES LLC

BD
CRD#: 115514
STAMFORD, CT
Past

June 9, 2003 - February 20, 2004

SAPENO INC.

BD
CRD#: 124769
LONDON,
Past

January 1, 2001 - July 12, 2001

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

April 1, 1999 - January 1, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 10, 1987 - December 16, 1998

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

July 29, 1980 - December 16, 1998

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 28, 1976 - August 11, 1980

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
Past

December 20, 1975 - April 15, 1976

G.A. SAXTON & CO.

BD
CRD#: 1000001

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
RR
Series 63
Date: 12/11/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/30/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 6/15/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/12/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GC
GALLATIN CAPITAL LLC
GALLATIN CAPITAL LLC | THE SAGAMORE GROUP, LLC

CRD#: 124738 / SEC#: , 8-65718

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

Main Address
444 Madison Avenue 29th Floor, New York, NY 10022
Mailing Address
444 Madison Avenue 29th Floor, New York, NY 10022
Phone number
(212) 891-7980
Established
New York since 12/04/2002
Firm type
Limited Liability Company
Fiscal year end
June
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BUSCEMI, ANTHONY RICHARDMEMBER3156872
TAMIS, JENNIFER KELLEHERPASSIVE OWNER4461249
YOUNGBLOOD, JOHN LAWRENCEMANAGING PRINCIPAL1335335
ADEN, DANA LYNFINOP AND CHIEF COMPLIANCE OFFICER2780889

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

GALLATIN CAPITAL LLC

CRD#: 124738

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