Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Gallego is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. James has been in the industry since 2005 and has a wide range of experience in the financial services industry. James holds several licenses and certifications, including Series 7, Series 55, Series 56, Series 63 and Series 66.
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
NY
06/10/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
07/24/2014 - 01/29/2016
AVONDALE PARTNERS, LLC (NEW YORK NY)
NY
05/24/2013 - 04/30/2014
KOYOTE TRADING LLC (NEW YORK NY)
NY
06/04/2007 - 12/20/2007
OPUS TRADING FUND LLC (JERICHO NY)
NY
06/19/2006 - 06/05/2007
TJM INVESTMENTS, LLC (GARDEN CITY, NEW YORK 11530 NY)
NY
05/06/2006 - 06/12/2006
OPUS TRADING FUND LLC (JERICHO NY)
NY
03/31/2005 - 11/23/2005
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
NY
07/09/2002 - 09/30/2003
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
NY
02/06/2002 - 07/24/2002
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
01/07/2000 - 02/06/2002
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
NY
06/06/1997 - 01/03/2000
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
BOTH
Issued 1/17/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/20/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/17/2014
Series 7 - General Securities Representative Examination
BC
Issued 5/23/2013
Series 56 - Proprietary Trader Qualification Examination
BC
Issued 12/16/2000
Series 55 - Limited Representative-Equity Trader Exam
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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