Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Gallagher is an active Registered Representative and Investment Adviser Representative with over 30 years of experience in the financial services industry. James Patrick Gallagher is currently registered with Morgan Stanley. Previously, he was associated with UBS Financial Services Inc. and Citigroup Global Markets Inc. James Patrick Gallagher holds several industry licenses including Series 3, Series 7, Series 63, Series 65 and SIE. James Patrick Gallagher is registered with the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Maryland, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia and Washington.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
02/19/2020 - Present
Morgan Stanley (Shrewsbury NJ)
NJ
09/30/2005 - 02/04/2013
UBS FINANCIAL SERVICES INC. (RED BANK NJ)
NY
09/14/1992 - 10/17/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 12/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1992
Series 3 - National Commodity Futures Examination
BC
Issued 09/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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