Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Craig? Claim Your ProfileCraig Gallen is a financial professional with over 18 years of experience in the financial services industry. Craig is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Frisco, Texas and has a Series 7, Series 63 and Series 66 license. Prior to joining Merrill Lynch, Craig worked with Northwestern Mutual Investment Services, LLC, MML Investors Services, LLC, Tradition Asiel Securities Inc. and Citigroup Global Markets Inc. Craig has worked in the financial services industry since 2002 and has experience in the areas of financial planning, portfolio management, and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
03/07/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRISCO TX)
NY
11/05/2020 - 10/12/2021
MML INVESTORS SERVICES, LLC (ELMSFORD NY)
NJ
08/01/2016 - 11/13/2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WALL TOWNSHIP NJ)
NY
05/28/2014 - 01/04/2016
TRADITION ASIEL SECURITIES INC. (NEW YORK NY)
NY
02/24/2014 - 05/28/2014
TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)
NY
05/08/2009 - 10/03/2013
GFI SECURITIES LLC (NEW YORK NY)
NY
12/19/2002 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 03/04/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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