Michael S. Gutshall
Professional summary
Michael Seeley Gutshall, who also goes by Michael Gutshall, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Seeley Gutshall's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2015 - Present
PUMA CAPITAL, LLC
Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580March 5, 2012 - February 12, 2015
OTC LINK LLC
August 4, 2009 - August 20, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
January 10, 2007 - July 31, 2009
HILL THOMPSON MAGID & CO., INC.
July 25, 2002 - July 26, 2005
COMPUTERSHARE SECURITIES CORPORATION
May 23, 2001 - July 3, 2002
DEUTSCHE IXE, LLC
July 13, 1994 - October 9, 1997
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2015)
(4/22/2015)
(4/22/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/10/2001
Limited Representative-Equity Trader ExamCboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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