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Detailed Report
JAMES BIDDLECOMB GALBRAITH III
JIM GALBRAITH III
CRD#: 2242349
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 305 MADISON AVENUE
MORRISTOWN, NJ 07960
LPL FINANCIAL LLCCRD#: 6413 305 MADISON AVE
MORRISTOWN, NJ 07960
Registration History
19952000200520102015202020252 FIRMS2008 - 2018 (10 years)2 FIRMS2018 - 2022 (3 years)2 FIRMS2022 - Present (3 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2008 (4 years)
License(s)

State Registrations

B
Alabama 4/15/2022
B
Minnesota 3/22/2022
B
Arizona 3/22/2022
B
Missouri 3/22/2022
B
California 4/13/2022
B
Nevada 3/22/2022
B
Connecticut 3/22/2022
B
New Jersey 3/22/2022
B
Delaware 3/22/2022
IA
New Jersey 3/23/2022
B
Florida 3/22/2022
B
New York 3/22/2022
B
Georgia 3/22/2022
B
North Carolina 3/22/2022
B
Indiana 3/22/2022
B
Pennsylvania 3/22/2022
B
Kansas 3/22/2022
B
Texas 3/22/2022
B
Kentucky 3/22/2022
IA
Texas 3/24/2022
B
Maryland 3/22/2022
B
Virginia 3/22/2022
B
Massachusetts 3/22/2022

SRO Registrations

B
 FINRA

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
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
305 MADISON AVENUE, MORRISTOWN, NJ 07960
Registered with this firm since 3/23/2022
B
LPL FINANCIAL LLC (CRD#:6413)
305 MADISON AVE, MORRISTOWN, NJ 07960
Registered with this firm since 3/22/2022
Previous Registration(s)
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B
 08/09/2018 - 04/12/2022 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) FLORHAM PARK, NJ
IA
 08/10/2018 - 03/22/2022 STEWARD PARTNERS INVESTMENT ADVISORY, LLC (CRD#:283004) Florham Park, NJ
IA
 01/01/2008 - 08/13/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MORRISTOWN, NJ
B
 01/01/2008 - 08/13/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MORRISTOWN, NJ
B
 09/20/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) MORRISTOWN, NJ
IA
 10/14/2003 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) MORRISTOWN, NJ
B
 07/31/1993 - 10/01/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 06/12/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.