Michael J. Gefen
STRATEGIC ADVISERS LLC | Vice President, Financial Consultant
WESTPORT, CT
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CRD#: 2158724
Professional summary
Michael Jay Gefen, who also goes by Michael Jay Gefen, Mike Gefen, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Westport, Connecticut and FIDELITY BROKERAGE SERVICES LLC located in Fairfield, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Biography
As a Financial Consultant, I partner with our clients to help them develop individualized financial plans for their retirement and other life events. Together with our team, our goal is to help our clients work toward financial security and comfort by fully understanding their needs and what is most important to them.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Jay Gefen | Mike Gefen
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.
OAA#: 55200 | Org Name:Caldwell Banker | Org Addr:Westport, CT, US | Nature of Bus:Real Estate | Invst Rel:Y | Title:Realtor | Duties:Residential Real Estate Transactions | Start Dt:03/01/2018 | Total Hrs p/m:10 | Sec Trdng Hrs p/m:0
CRS (Client Relationship Summary) - RIA
Click below to view Michael Jay Gefen'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®
NoneEducation
University of Florida
Bachelor of Science (BS) - Finance
1993
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1261 Post Road, Fairfield, CT 06824-6072RIA
CRD#: 104555
WESTPORT, CT
Current
July 18, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1261 Post Road, Fairfield, CT 06824BD
CRD#: 7784
Fairfield, CT
Past
July 19, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
FAIRFIELD, CT
Past
November 28, 2017 - February 28, 2018
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
April 23, 2009 - February 12, 2010
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
February 27, 2009 - February 12, 2010
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
BOCA RATON, FL
Past
January 19, 2005 - March 2, 2009
COMERICA SECURITIES
RIA
CRD#: 17079
BOCA ROTAN, FL
Past
December 8, 2004 - March 2, 2009
COMERICA SECURITIES
BD
CRD#: 17079
BOCA ROTAN, FL
Past
November 17, 2003 - November 19, 2004
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
MONTVALE, NJ
Past
January 1, 2002 - November 14, 2003
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
BOCA RATON, FL
Past
February 11, 2000 - January 1, 2002
FIRST COLONIAL SECURITIES
BD
CRD#: 25121
BOCA RATON, FL
Past
October 30, 1997 - February 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 10, 1993 - September 17, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 9, 1991 - December 4, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alabama(9/5/2025)
RR
California(9/6/2018)
RR
Colorado(7/18/2018)
RR
Connecticut(7/18/2018)
IAR
Connecticut(3/31/2025)
RR
Delaware(1/3/2025)
RR
District of Columbia(8/8/2020)
RR
Florida(7/18/2018)
RR
Idaho(5/20/2023)
RR
Illinois(10/8/2024)
RR
Louisiana(3/10/2022)
RR
Maine(4/23/2020)
RR
Maryland(4/14/2020)
RR
Massachusetts(9/6/2018)
RR
Michigan(1/3/2020)
RR
Minnesota(4/23/2020)
RR
Missouri(10/8/2021)
RR
New Hampshire(9/6/2018)
RR
New Jersey(7/18/2018)
RR
New York(7/18/2018)
RR
North Carolina(9/7/2018)
RR
Ohio(9/29/2023)
RR
Oregon(4/14/2023)
RR
Pennsylvania(9/6/2018)
RR
Rhode Island(4/17/2019)
RR
South Carolina(9/6/2018)
RR
Tennessee(7/8/2022)
RR
Texas(4/17/2019)
IAR
Texas(3/31/2025)
RR
Vermont(10/8/2021)
RR
Virginia(9/6/2018)
RR
Washington(1/15/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/23/2003
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC ADVISERS LLC
Vice President, Financial ConsultantCRD#: 104555Westport, CTTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
