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Detailed Report
JAMES PATRICK GALLAGHER
JAMES P GALLAGHER, JAMES GALLAGHER
CRD#: 1175833
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1030 Broad Street 3Rd Floor
Shrewsbury, NJ 07702
Registration History
19952000200520102015202020252 FIRMS2005 - 2013 (7 years)2 FIRMS2013 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1992 - 2005 (13 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2005 (3 years)
Disclosure(s)
View By:
12/1/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/8/2018
B
New Jersey 1/25/2013
B
Arizona 1/5/2021
IA
New Jersey 1/25/2013
B
California 1/25/2013
B
New York 1/25/2013
B
Colorado 1/25/2013
B
North Carolina 1/25/2013
B
Connecticut 1/28/2013
B
Ohio 1/25/2013
B
Delaware 1/28/2013
B
Pennsylvania 1/25/2013
B
District of Columbia 2/21/2019
B
Rhode Island 1/25/2013
B
Florida 1/25/2013
B
South Carolina 1/25/2013
B
Georgia 1/29/2013
B
South Dakota 3/28/2024
B
Idaho 11/20/2023
B
Tennessee 2/12/2013
B
Illinois 1/25/2013
B
Texas 1/25/2013
B
Indiana 8/30/2022
IA
Texas 2/19/2020
B
Maryland 1/25/2013
B
Vermont 12/1/2022
B
Massachusetts 1/25/2013
B
Virginia 1/25/2013
B
Michigan 1/28/2013
B
Washington 8/13/2024
B
Missouri 1/17/2024
B
Wyoming 9/30/2024
B
New Hampshire 1/25/2013

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1030 Broad Street 3Rd Floor, Shrewsbury, NJ 07702
Registered with this firm since 1/25/2013
B
MORGAN STANLEY (CRD#:149777)
1030 Broad Street 3Rd Floor, Shrewsbury, NJ 07702
Registered with this firm since 1/25/2013
Previous Registration(s)
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IA
 09/30/2005 - 02/04/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) RED BANK, NJ
B
 09/30/2005 - 02/04/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) RED BANK, NJ
IA
 05/10/2002 - 10/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RED BANK, NJ
B
 09/14/1992 - 10/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.