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Detailed Report
GERALD PAUL GALLAGHER
JERRY GALLAGHER
CRD#: 4132976
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 433 N CAMDEN DR 9TH & 12TH FLS
BEVERLY HILLS, CA 90210
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - 2006 (2 years)2 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - 2024 (9 years)2 FIRMS2024 - Present (1 year)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2007 - 2011 (3 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2006 - 2011 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2001 (1 year)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2006 - 2009 (3 years)
Disclosure(s)
View By:
10/28/2008
Customer Dispute
Closed-No Action
12/9/2002
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Alabama 4/16/2024
B
Montana 4/12/2024
B
Arizona 4/12/2024
IA
Montana 4/15/2024
B
California 4/12/2024
B
Nevada 4/12/2024
IA
California 4/16/2024
B
New Jersey 4/12/2024
B
Colorado 4/12/2024
B
New York 4/12/2024
B
Connecticut 4/12/2024
B
North Carolina 4/12/2024
B
Delaware 4/12/2024
B
Oklahoma 4/12/2024
B
District of Columbia 4/12/2024
B
Oregon 4/12/2024
B
Florida 4/12/2024
B
Pennsylvania 4/12/2024
B
Georgia 4/12/2024
B
Rhode Island 4/12/2024
B
Hawaii 4/16/2024
B
South Carolina 4/12/2024
B
Idaho 4/12/2024
B
Tennessee 4/12/2024
B
Illinois 4/12/2024
B
Texas 4/12/2024
B
Iowa 4/12/2024
IA
Texas 4/12/2024
B
Kansas 4/12/2024
B
Utah 4/12/2024
B
Maryland 4/12/2024
B
Vermont 4/12/2024
B
Massachusetts 4/12/2024
B
Virginia 4/12/2024
B
Michigan 4/12/2024
B
Washington 4/12/2024
B
Minnesota 4/16/2024
B
Wyoming 4/12/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX 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
WELLS FARGO ADVISORS (CRD#:19616)
433 N CAMDEN DR 9TH & 12TH FLS, BEVERLY HILLS, CA 90210
Registered with this firm since 4/12/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
433 N CAMDEN DR 9TH & 12TH FLS, BEVERLY HILLS, CA 90210
Registered with this firm since 4/12/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/19/2014 - 04/16/2024 MORGAN STANLEY (CRD#:149777) Los Angeles, CA
B
 09/19/2014 - 04/16/2024 MORGAN STANLEY (CRD#:149777) Los Angeles, CA
IA
 01/03/2011 - 10/02/2014 BARCLAYS CAPITAL INC. (CRD#:19714) LOS ANGELES, CA
B
 01/03/2011 - 10/02/2014 BARCLAYS CAPITAL INC. (CRD#:19714) LOS ANGELES, CA
B
 09/20/2007 - 01/20/2011 VISION INVESTMENT SERVICES, INC. (CRD#:46609) LOS ANGELES, CA
B
 05/16/2006 - 01/03/2011 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) LOS ANGELES, CA
IA
 05/16/2006 - 12/31/2009 NORTHERN TRUST SECURITIES, INC (CRD#:7927) LOS ANGELES, CA
IA
 06/09/2003 - 02/22/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BEVERLY HILLS, CA
B
 06/09/2003 - 02/22/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
IA
 12/03/2001 - 06/27/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
 11/16/2001 - 06/27/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 04/05/2000 - 11/23/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.