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LEONARD V. GALLICK JR. (CRD# 2593465)
Alternate Names: LEONARD VINCENT GALLICK JR, LEONARD GALLICK, VINCENT GALLICK
Individual registration as a broker, investment advisor, or both
Not Licensed
Disclosures including customer complaints, regulatory actions and criminal convictions
7 Disclosure(s)
Employment and registration history
21 year(s) in securities industry
Qualifications: exams passed and state licenses
Passed 2 Exam(s)
Registered with 0 U.S. states and territories
Individual registration as a broker, investment advisor, or both
Not Licensed
This individual is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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 - Settled
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)
This broker is not currently registered with any firm.

Previous Registration(s)
10/2009 - 08/2016
LAIDLAW & COMPANY (UK) LTD. (CRD# 119037) - NEW YORK, NY
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.
This broker is not currently registered with any state or SRO.
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.

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