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Individual Firm
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LEONARD V. GALLICK JR. (CRD# 2593465)
Alternate Names: LEONARD VINCENT GALLICK JR, LEONARD GALLICK, VINCENT GALLICK
LAIDLAW & COMPANY (UK) LTD. (CRD# 119037)
100 WALL ST, SUITE 901, NEW YORK, NY 10005
Individual registration as a broker, investment advisor, or both
Broker
Disclosures including customer complaints, regulatory actions and criminal convictions
7 Disclosure(s)
Employment and registration history
20 year(s) in securities industry
Qualifications: exams passed and state licenses
Passed 2 Exam(s)
Registered with 4 U.S. states and territories
Individual registration as a broker, investment advisor, or both
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 customers (as broker), for its own account (as dealer), or both.
Individuals who work for broker-dealers — the sales personnel are commonly referred to as brokers.

Disclosures including customer complaints, regulatory actions and criminal convictions
Disclosure Events Registration History
Event details are displayed as entered by the reporting source (broker, firm or regulator). The detailed report contains information from all sources that reported the event.
Disclosure Event(s)
12/22/2014
Customer Dispute - Pending
05/01/2013
Customer Dispute - Settled
06/12/2001
Customer Dispute - Award/Judgment
06/12/2001
Customer Dispute - Settled
01/31/2000
Customer Dispute - Pending
03/05/1998
Customer Dispute - Denied
12/04/1996
Customer Dispute - Award/Judgment
Employment and registration history
Current Registration(s)
Registered with this firm since 10/2009
LAIDLAW & COMPANY (UK) LTD. (CRD# 119037)
100 WALL ST, SUITE 901, NEW YORK, NY 10005

Previous Registration(s)
06/2004 - 11/2009
GUNNALLEN FINANCIAL, INC (CRD# 17609) - ROSALYN HEIGHTS, NY
10/1998 - 07/2004
J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) - ATLANTA, GA
10/1995 - 09/1998
JOSEPHTHAL & CO., INC. (CRD# 3227) - NEW YORK, NY
03/1995 - 11/1995
A. R. BARON & CO., INC. (CRD# 29285) - NEW YORK, NY
Qualifications: exams passed and state licenses
Passed 2 Exam(s)
Principal/ Supervisory Exam
General Industry/ Product Exam
General Securities Representative Examination
Series 7
03/11/1995
State Securities Law Exam
Uniform Securities Agent State Law Examination
Series 63
03/15/1995

Passing a qualifying exam, together with a current FINRA registration, enables a broker to engage in specific activities. Learn more about FINRA exams and registration requirements.
Registered with 1 Self-Regulatory Organization(s)
  • FINRA
Registered with 4 U.S. states and territories
  • Connecticut
  • Florida
  • New York
  • Pennsylvania
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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