AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JL

John G. Layng

GALLATIN CAPITAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 818551
JL

Professional summary

John Gardiner Layng is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1975. John has 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.

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 John Gardiner Layng'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

July 15, 2013 - Present

GALLATIN CAPITAL LLC

Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022
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.

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
(7/15/2013)
RR
Connecticut
(12/10/2014)
RR
Florida
(7/15/2013)
RR
Maine
(7/1/2016)
RR
Massachusetts
(7/15/2013)
RR
New Jersey
(7/15/2013)
RR
New York
(7/15/2013)
RR
Texas
(7/15/2013)
RR
Washington
(11/19/2019)

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)
SRO Registrations
RR
FINRA

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 LAWRENCEMAN PRIN AND CHIEF COMPLIANCE OFFICER1335335
ADEN, DANAFINOP2780889

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#: 124738New York, NY 10022

TRUST BUT VERIFY

Monitor John Layng

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.