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Detailed Report
GAL GALI HOREV
GALI HOREV
CRD#: 5138931
IA
Investment Adviser
B
Broker
DEMPSEY LORD SMITH, LLCCRD#: 141238 19800 MacArthur Blvd.
Suite #300
Irvine, CA 92612
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2011 (1 year)2 FIRMS2012 - 2017 (5 years)2 FIRMS2017 - Present (7 years)BMORGAN PEABODY, INC. (CRD# 38306)2007 - 2008 (1 year)
Disclosure(s)
View By:
6/7/2024
Customer Dispute
Pending
License(s)

State Registrations

B
Arizona 4/27/2018
B
Idaho 8/24/2017
IA
Arizona 5/1/2018
B
Nevada 5/31/2019
B
California 2/6/2017
B
Oregon 4/18/2023
IA
California 11/1/2017
B
Pennsylvania 5/7/2024
B
Colorado 2/6/2017
B
Texas 8/24/2017
B
Florida 2/6/2017
B
Virgin Islands 8/31/2023

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
DEMPSEY LORD SMITH, LLC (CRD#:141238)
19800 MacArthur Blvd. Suite #300, Irvine, CA 92612
Registered with this firm since 11/1/2017
B
DEMPSEY LORD SMITH, LLC (CRD#:141238)
19800 MacArthur Blvd. Suite #300, Irvine, CA 92612
Registered with this firm since 2/6/2017
Previous Registration(s)
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IA
 02/21/2012 - 02/24/2017 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) IRVINE, CA
B
 01/04/2012 - 02/17/2017 NATIONAL SECURITIES CORPORATION (CRD#:7569) IRVINE, CA
IA
 08/09/2010 - 12/31/2011 AMERICAN INVESTORS CO (CRD#:38) IRVINE, CA
B
 05/25/2010 - 12/31/2011 AMERICAN INVESTORS COMPANY (CRD#:38) SAN RAMON, CA
IA
 09/25/2009 - 05/26/2010 PRIVATE ASSET ADVISORS, INC. (CRD#:142322) COSTA MESA, CA
B
 09/23/2009 - 04/27/2010 PRIVATE ASSET GROUP, INC. (CRD#:142541) COSTA MESA, CA
IA
 10/16/2008 - 09/23/2009 FINANCIAL WEST GROUP (CRD#:16668) LOS ANGELES, CA
B
 10/16/2008 - 09/23/2009 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
B
 03/29/2007 - 10/29/2008 MORGAN PEABODY, INC. (CRD#:38306)
FINRA expelled the firm on 12/22/2008
SHERMAN OAKS, CA
IA
 01/09/2007 - 03/30/2007 SPC (CRD#:110692) LONG BEACH, CA
B
 01/18/2007 - 03/30/2007 SIGMA FINANCIAL CORPORATION (CRD#:14303) LONG BEACH, CA
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.