Michele P. Gatling
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.
Michele Pontrelli Gatling, who also goes by Michele Julie Pontrelli, Michele Pontrelli, Michele Julie Pontrelligatling, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1985. Michele had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 53 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
May 12, 2015 - October 27, 2020
MORGAN STANLEY
May 8, 2015 - October 27, 2020
MORGAN STANLEY
September 30, 2011 - April 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2011 - April 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 15, 2009 - September 28, 2010
HARRISDIRECT LLC
October 4, 2006 - September 28, 2010
E*TRADE SECURITIES LLC
July 7, 2005 - September 25, 2006
FIDELITY BROKERAGE SERVICES LLC
January 3, 1987 - May 24, 1990
CHARLES SCHWAB & CO., INC.
November 22, 1985 - January 23, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 7TO
Date: 10/10/2022
General Securities Representative ExaminationSeries 52TO
Date: 10/10/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 10/10/2022
Operations Professional ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
