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Michael John Gebhardt

CRD# 1253472·Registered 1984 - 2013
Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael John Gebhardt was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1984 - 2013. Michael had worked at 11 firms and has passed the Series 63, Series 7, Series 62, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

AST INVESTOR SERVICES LLC·CRD# 155050
BD
New York, NY
August 14, 2012 - March 12, 2013
T3 TRADING GROUP, LLC·CRD# 154431
BD
New York, NY
April 12, 2011 - June 12, 2012
STANDARD CREDIT SECURITIES INC.·CRD# 42813
BD
New York, NY
April 18, 2008 - October 19, 2010
GFI SECURITIES LLC·CRD# 19982
BD
New York, NY
April 7, 2004 - May 15, 2008
CHAPDELAINE CORPORATE SECURITIES & CO·CRD# 23741
BD
New York, NY
February 12, 1992 - February 9, 2004
TULLETT & TOKYO SECURITIES, INC.·CRD# 19595
BD
New York, NY
September 14, 1988 - November 27, 1989
GARBAN CAPITAL MARKETS LLC·CRD# 19738
BD
July 25, 1987 - July 6, 1988
ROONEY, PACE INC.·CRD# 6218
BD
May 19, 1986 - December 15, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.·CRD# 14156
BD
September 4, 1985 - May 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
November 7, 1984 - October 17, 1985
BECKER PARIBAS INCORPORATED·CRD# 7635
BD
August 21, 1984 - December 31, 1984

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Current Firm

AI
AST INVESTOR SERVICES LLC

AST BROKERAGE SOLUTIONS, LLC | AST INVESTOR SERVICES, LLC | AST INVESTOR SERVICES LLC

CRD#: 155050 / SEC#: 8-68694
BD
Terminated by SEC on 09/05/2017

Contact Information

Established

New York since 08/09/2010

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
ARMOR HOLDING II, LLCMEMBER—
CORTESE, THOMAS JOSEPHCHIEF COMPLIANCE OFFICER2350089
FLANIGAN, MARTIN GERARDCEO1474962
HALICA, CRAIG PETERFINOP3163306
TERENZI, CHRISTOPHER PAULEVP, BROKERAGE1619938

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1993About the Series 7 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Aug 1992

Series 4 — Registered Options Principal Examination

Passed Jul 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Sep 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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