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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

James L Gallagher

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOSTON, MA | BUFFALO, NY | WORCESTER, MA

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Search this name across graphsid dfx:ria:9a08197a-eca3-cf9b-1005-96e2d3538897

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 15, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Dec 15, 2000
First registration: Aug 23, 2002
Dual registered: yes, broker-dealer
Other names: JAMES Leo GALLAGHER
IAPD individual key: 4253359

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 30, 2023	n/a	yes	BOSTON, MA\|WORCESTER, MA\|BUFFALO, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 13, 2007	Apr 19, 2022	no	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	Previous registration
WAMU INVESTMENTS, INC.	n/a	Aug 15, 2006	Jun 19, 2007	no	NEW YORK, NY\|BRIDGEPORT, CT\|NORWALK, CT\|STAMFORD, CT\|WAYNE, NJ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 1, 2003	Aug 26, 2004	no	NEW YORK, NY	Previous registration
MERRILL LYNCH INVESTMENT MANAGERS LP	n/a	Aug 23, 2002	Jun 12, 2003	no	PLAINSBORO, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WAMU INVESTMENTS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 19, 2007	Jul 13, 2007	24	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	WAMU INVESTMENTS, INC.	Aug 26, 2004	Aug 15, 2006	719	Firm change after gap	Other
MERRILL LYNCH INVESTMENT MANAGERS LP	CHASE INVESTMENT SERVICES CORP.	Jun 12, 2003	Aug 1, 2003	50	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 13, 2007 to Apr 19, 2022factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Aug 15, 2006 to Jun 19, 2007factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 1, 2003 to Aug 26, 2004factForm ADV
→ MERRILL LYNCH INVESTMENT MANAGERS LPRegistered adviserregistration: previous registration
Aug 23, 2002 to Jun 12, 2003factForm ADV

Dated events

No dated event names this entity yet.