Jan Galvez, financial advisor New York NY
69 score

Jan Galvez

CRD Number: 5289378
Current Firm: Capital One Advisors, LLC

Jan Galvez (CRD# 5289378) is an Investment Advisor Representative working at Capital One Advisors, LLC in New York, NY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Capital One Investments LLC Melville, NY Apr 2015 - Current 1
J.p. Morgan Securities LLC Glen Oaks, NY Oct 2012 - Apr 2015 2
Jpmorgan Chase Na Glen Oaks, NY Feb 2007 - Apr 2015 8
Chase Investment Services Corp Glen Oaks, NY Feb 2007 - Oct 2012 5
Uno Chicago Grill Astoria, NY Jun 2003 - Apr 2008 4
Shubert Theater Org New York, NY Oct 2006 - Oct 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2007
S65 NASAA Investment Advisors Law Examination Jul 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Jan A. Galvez
Phone Number: 206-805-0800
Registered State(s):
  • NV
  • NJ
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    12
    ACCOUNTS
  • Average Account Value
    $1,343
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
69

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