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MG

Michael C. Gearty

GUGGENHEIM INVESTMENTS
PORT WASHINGTON, NY
Some features on this profile are disabled
CRD#: 2020778
MG

Professional summary

Michael Carle Gearty is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Port Washington, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Carle Gearty's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 28, 2014 - Present

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
PORT WASHINGTON, NY
Current

March 10, 2011 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606
RIA
BD
CRD#: 39805
Chicago, IL
Past

July 30, 1999 - April 8, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 7, 1997 - July 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 9, 1994 - February 16, 1996

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

March 25, 1992 - May 3, 1993

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

March 26, 1991 - January 28, 1992

REICH & TANG DISTRIBUTORS, INC.

BD
CRD#: 28078
NEW YORK, NY
Past

December 4, 1990 - March 26, 1991

REICH & TANG, L.P.

BD
CRD#: 5275

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/10/2011)
RR
Florida
(5/3/2021)
IAR
Illinois
(5/28/2014)
RR
New York
(3/10/2011)
IAR
New York
(8/25/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/23/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/3/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 Approved)
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Contact information

Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts113
AUM (Assets Under Management)$ 7,395,263,411

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.

Company Information

GUGGENHEIM INVESTMENTS

CRD#: 105477Port Washington, NY

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