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Corey Lee Gallagher

LPl Financial LLC

Stratford, CT

CRD 4985251

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-05-16
  • CT RA
    APPROVED
    Since 2024-05-16

Branch Locations

Stratford, CT • 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
Citigroup Stamford CT 09/2006 01/2017
Unemployed Stratford CT 01/2017 05/2017
Lincoln Financial Securities Corporation Stratford CT 05/2017 05/2024
Lpl Financial Llc Stratford CT 05/2024 Present
  • 09/2006 → 01/2017
    Citigroup
    Stamford, CT
  • 01/2017 → 05/2017
    Unemployed
    Stratford, CT
  • 05/2017 → 05/2024
    Lincoln Financial Securities Corporation
    Stratford, CT
  • 05/2024 → Present
    Lpl Financial Llc
    Stratford, CT
Previous Registrations
  • 2017-06-13 → 2024-05-16
    Osaic Fs, Inc.
    Stratford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-31
  • S66 Uniform Combined State Law Examination
    2017-05-31
Other Names
  • Corey Gallagher
  • Corey Lee Gallagher

View on SEC IAPD

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