Clinton E. Galloway
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.
Clinton Edmund Galloway was a registered financial professional .
Clinton is a previously registered financial professional and started their career in finance in 1978. Clinton had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 28, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - July 22, 2025
DRUM CAPITAL CORP
September 30, 1987 - August 26, 1988
PRIVATE INVESTORS EQUITY GROUP
December 8, 1983 - June 18, 1987
FIRST STREET SECURITIES CORP.
February 20, 1981 - November 6, 1981
CITIGROUP GLOBAL MARKETS INC.
May 1, 1978 - March 2, 1981
MORGAN STANLEY DW INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/15/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DRUM CAPITAL CORP
CRD#: 175496 / SEC#: , 8-69603
Contact information
Documents
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.
