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Ashley Anne Galvin

Description

Ashley Galvin a financial professional at Hightower Advisors, LLC, a $10B dollar RIA based in Chicago, IL. Ashley is also registered with Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,100 registered representatives nationwide. Ashley has held an industry securities registration for 3 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Ashley Anne Galvin has not answered any questions on Financial Q&A.

Top Guides

Ashley Anne Galvin has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Hightower Advisors, LLC 1 year, 10 months Jul 2011 - Present
Morgan Stanley Smith Barney 2 years, 1 month Jun 2009 - Jul 2011
Morgan Stanley & Co Inc 2 years, 11 months Aug 2008 - Jul 2011
Nordstrom 3 years, 3 months May 2005 - Aug 2008
James Madison University 3 years, 8 months Sep 2004 - May 2008
James Madison High School 3 years, 8 months Oct 2000 - Jun 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/28/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
01/28/2013
03/18/2010
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 03/16/2010
General Securities Representative Examination Series 7

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7