Daniel G. Gallagher
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.
Daniel Gerard Gallagher was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1977. Daniel had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 5, Series 15, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - September 3, 2013
UBS FINANCIAL SERVICES INC.
May 3, 2010 - September 3, 2013
UBS FINANCIAL SERVICES INC.
June 1, 2009 - May 6, 2010
MORGAN STANLEY
June 1, 2009 - May 6, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 23, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
September 24, 1999 - January 29, 2003
MORGAN STANLEY & CO. LLC
August 9, 1984 - July 11, 1997
MORGAN STANLEY DW INC.
June 22, 1982 - September 5, 1984
UBS FINANCIAL SERVICES INC.
July 11, 1980 - July 2, 1982
BUTCHER & SINGER INC.
September 26, 1978 - July 23, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/5/1988
Interest Rate Options ExaminationSeries 15
Date: 5/13/1986
Foreign Currency Options ExaminationSeries 8
Date: 4/8/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
