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Detailed Report
ANGEL GALAN
CRD#: 4913511
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 200 CHEROKEE ST NE
MARIETTA, GA 30060
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - 2018 (1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
Alabama 2/14/2018
IA
New Hampshire 2/14/2018
IA
Alabama 2/14/2018
B
New York 2/14/2018
B
Arizona 2/14/2018
B
North Carolina 2/14/2018
IA
Arizona 2/14/2018
IA
North Carolina 2/14/2018
B
California 7/26/2023
B
Ohio 2/14/2018
B
Florida 2/14/2018
IA
Ohio 2/14/2018
B
Georgia 2/14/2018
B
Pennsylvania 10/29/2021
IA
Georgia 2/14/2018
B
South Carolina 2/14/2018
B
Illinois 9/12/2024
IA
South Carolina 2/14/2018
B
Michigan 2/14/2018
B
Tennessee 4/12/2023
IA
Michigan 2/14/2018
B
Texas 1/31/2022
B
Missouri 2/14/2018
B
Utah 2/14/2018
IA
Missouri 2/14/2018
IA
Utah 2/14/2018
B
Montana 2/14/2018
B
Virginia 2/14/2018
IA
Montana 2/14/2018
IA
Virginia 2/14/2018
B
New Hampshire 2/14/2018
B
Wyoming 1/31/2022

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)
B
LPL FINANCIAL LLC (CRD#:6413)
200 CHEROKEE ST NE, MARIETTA, GA 30060
5100 DALLAS HWY, POWDER SPRINGS, GA 30127-4491
Registered with this firm since 2/14/2018
IA
LPL FINANCIAL LLC (CRD#:6413)
200 CHEROKEE ST NE, MARIETTA, GA 30060
2215 RIVERSTONE BLVD, CANTON, GA 30114-5235
Registered with this firm since 2/14/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/29/2016 - 02/16/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) CANTON, GA
B
 09/26/2016 - 02/14/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) CANTON, GA
IA
 10/09/2013 - 09/23/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) MARIETTA, GA
B
 10/10/2013 - 09/23/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) MARIETTA, GA
IA
 06/09/2011 - 03/26/2013 INVEST FINANCIAL CORPORATION (CRD#:12984) VALENCIA, CA
B
 06/09/2011 - 03/26/2013 INVEST FINANCIAL CORPORATION (CRD#:12984) VALENCIA, CA
IA
 05/02/2009 - 06/01/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GRANADA HILLS, CA
B
 05/02/2009 - 06/01/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GRANADA HILLS, CA
IA
 04/20/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GRANADA HILLS, CA
B
 04/20/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GRANADA HILLS, CA
IA
 09/26/2005 - 03/13/2006 MORGAN STANLEY (CRD#:7556) WOODLAND HILLS, CA
B
 09/13/2005 - 03/13/2006 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/13/2005 - 07/28/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 04/13/2005 - 07/28/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.