Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Galloway is a financial advisor at Wedbush Securities Inc. Douglas has been in the financial industry since 1997. Douglas is registered with FINRA and has a Series 7, Series 63, and Series 65 license. Douglas is also licensed to provide investment advice in Alaska, Arizona, California, Colorado, Florida, Idaho, Maryland, Nevada, New York, Oregon, South Carolina, Texas and Washington. Douglas specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and high net worth individuals. Douglas has experience working at Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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
CA
02/02/2016 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
11/09/2011 - 02/04/2016
WELLS FARGO ADVISORS, LLC (INDIAN WELLS CA)
CA
06/01/2009 - 12/02/2011
MORGAN STANLEY SMITH BARNEY (INDIAN WELLS CA)
CA
10/26/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM DESERT CA)
CA
06/20/2003 - 10/29/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)
NY
07/24/2000 - 07/02/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 08/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Douglas Galloway is the right advisor for you? Invested Better is here to help.
