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James L Gallagher

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Worcester, MA

Buffalo, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-11-08
CT RA APPROVED 2023-05-16
TX RA APPROVED 2023-03-30
  • NY RA
    APPROVED
    Since 2023-11-08
  • CT RA
    APPROVED
    Since 2023-05-16
  • TX RA
    APPROVED
    Since 2023-03-30

Branch Locations

100 Federal St Pbig - Boston Private Wealth Ctr, Boston, MA 02110 • United States

100 Front St, Worcester, MA 01608 • United States

50 Fountain Plz, Buffalo, NY 14202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Pennington NJ 06/2007 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Buffalo NY 07/2022 Present
Bank Of America, N.A. Buffalo NY 08/2022 Present
Previous Registrations
  • 2007-07-13 → 2022-04-19
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
    Pennington, NJ
    New York, NY
    Pennington, NJ
    Wellesley Hills, MA
    Wellesley Hills, MA
    Wayzata, MN
    Wellesley Hills, MA
    Boston, MA
    Westborough, MA
    Worcester, MA
  • 2006-08-15 → 2007-06-19
    Wamu Investments, Inc.
    New York, NY
    Bridgeport, CT
    Norwalk, CT
    Stamford, CT
    Wayne, NJ
  • 2003-08-01 → 2004-08-26
    Chase Investment Services Corp.
    New York, NY
  • 2002-08-23 → 2003-06-12
    Merrill Lynch Investment Managers Lp
    Plainsboro, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-28
S63 Uniform Securities Agent State Law Examination 2000-12-15
  • S66 Uniform Combined State Law Examination
    2002-10-28
  • S63 Uniform Securities Agent State Law Examination
    2000-12-15
Other Names
  • James Leo Gallagher

View on SEC IAPD

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Other Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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