Patrick J. Gallaway
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.
Patrick Joseph Gallaway, who also goes by Patrick Joseph Galloway, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1977. Patrick had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2010 - May 5, 2015
ATLAS ONE FINANCIAL GROUP, LLC
September 22, 2009 - January 19, 2010
CANACCORD GENUITY SECURITIES LLC
August 8, 2005 - November 21, 2008
R.W.PRESSPRICH & CO.
April 26, 2004 - April 21, 2005
BARCLAYS CAPITAL INC.
August 30, 2002 - April 23, 2004
GPC SECURITIES, INC.
November 20, 2000 - April 10, 2001
UBS SECURITIES LLC
August 26, 1997 - May 2, 2001
UBS FINANCIAL SERVICES INC.
August 31, 1988 - August 12, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
May 22, 1985 - October 16, 1986
UBS SECURITIES LLC
February 28, 1984 - May 21, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
June 1, 1977 - June 10, 1982
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ATLAS ONE FINANCIAL GROUP, LLC
CRD#: 124057 / SEC#: , 8-65620
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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