Kirk D. Michelotti
Professional summary
Being a previously registered professional could mean that this person 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.
Kirk David Michelotti was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1985. Kirk had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2001 - December 26, 2008
GUNNALLEN FINANCIAL, INC
March 29, 1999 - June 29, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 2, 1999 - April 6, 1999
ALL-TECH DIRECT, INC.
May 14, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
December 8, 1995 - May 8, 1997
DAIN RAUSCHER INCORPORATED
July 29, 1991 - November 29, 1995
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1985 - August 1, 1991
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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.
