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Patrick Joseph Gallaway

CRD# 838519·Registered 1977 - 2015
Previously Registered: Being a previously registered professional could mean that Patrick 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.

Professional Summary

Patrick Joseph Gallaway, who also goes by Patrick Joseph Galloway, was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1977 - 2015. Patrick had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Patrick Joseph Galloway

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

49 years in the financial services industry

Current & Past Employments

ATLAS ONE FINANCIAL GROUP, LLC·CRD# 124057
BD
New York, NY
June 2, 2010 - May 5, 2015
CANACCORD GENUITY SECURITIES LLC·CRD# 24790
BD
New York, NY
September 22, 2009 - January 19, 2010
R.W.PRESSPRICH & CO.·CRD# 26460
BD
New York, NY
August 8, 2005 - November 21, 2008
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
April 26, 2004 - April 21, 2005
GPC SECURITIES, INC.·CRD# 14007
BD
Atlanta, GA
August 30, 2002 - April 23, 2004
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
November 20, 2000 - April 10, 2001
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
August 26, 1997 - May 2, 2001
NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297
BD
New York, NY
August 31, 1988 - August 12, 1997
UBS SECURITIES LLC·CRD# 7654
BD
May 22, 1985 - October 16, 1986
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
February 28, 1984 - May 21, 1985
CIBC WORLD MARKETS CORP.·CRD# 630
BD
June 1, 1977 - June 10, 1982

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Current Firm

AO
ATLAS ONE FINANCIAL GROUP, LLC

ATLAS ONE FINANCIAL GROUP, LLC

CRD#: 124057 / SEC#: 8-65620
BD
Terminated by SEC on 05/12/2017

Contact Information

Established

Delaware since 07/30/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ATLAS WEALTH HOLDINGS LLCMANAGING MEMBER—
GILMAN, ROBERT CRAIGFINOP1738412
MENDEZ, MARCO ANTONIOSECONDARY PRINCIPAL1175827
ORTEGA, JOSE FELIPEMANAGING PARTNER / CHIEF COMPLIANCE OFFICER5137925

Disclosures

Regulatory Event

3

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 1993About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 1977About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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