Michael Seeley Gutshall
Professional Summary
Michael Seeley Gutshall, who also goes by Michael Gutshall, is a registered financial advisor currently at PUMA CAPITAL, LLC located in Rye, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 6, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Gutshall
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Videos & Posts
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Contact Information
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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
32 years in the financial services industry
Current & Past Employments
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Current Firm
PUMA CAPITAL, LLC
Contact Information
Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Phone Number
(212) 269-4100Established
Florida since 02/09/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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
(4/22/2015)
(4/22/2015)
(4/22/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2001Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Seeley Gutshall's CRS (Customer Relationship Summary).
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