Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Simon Galle is a financial professional with over 30 years of experience in the industry. William is currently registered with Bradley Woods & Co. Ltd. in New York. William holds licenses including Series 3, 63, 65, 66, 79TO, and SIE. William has a strong track record of success in the financial services industry. Prior to joining Bradley Woods & Co. Ltd., William held positions at Rosewood Securities Inc., AEGIS Capital Corp., Malvina Capital Markets, LLC, Capitol Securities Management, Inc., Smith Barney, Harris Upham & Co., Incorporated, Wall Street Investment Corporation, and Riviere Securities Corporation.
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.
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.
1
2
NY
05/11/2010 - Present
Bradley Woods & Co. Ltd. (NEW YORK NY)
NY
10/22/2008 - 10/22/2009
BRADLEY WOODS & CO. LTD. (NEW YORK NY)
VA
06/04/2007 - 10/03/2007
ROSEWOOD SECURITIES INC. (WASHINGTON VA)
NY
10/26/2004 - 08/04/2005
AEGIS CAPITAL CORP. (NEW YORK NY)
NY
07/06/2001 - 11/22/2002
MALVINA CAPITAL MARKETS, LLC (NEW YORK NY)
VA
04/06/1995 - 11/27/2000
CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)
NY
03/28/1982 - 04/26/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
03/17/1981 - 06/24/1985
WALL STREET INVESTMENT CORPORATION
NA
12/22/1981 - 03/15/1982
RIVIERE SECURITIES CORPORATION
BC
Issued 06/20/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/22/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1981
Series 18 - Securities Industry Rules and Regulations Examination
BC
Issued 08/29/1978
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
Not sure William Galle is the right advisor for you? Invested Better is here to help.
