Michael D. Giblin

DOVETAIL FINANCIAL GROUP LLC

Wilmington, NC 28403-7059

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CRD#: 2703417

Professional summary

Michael Dennis Giblin, CFP® is a registered financial advisor currently at DOVETAIL FINANCIAL GROUP LLC located in Wilmington, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

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.

1.CAMERON SCHOOL OF BUSINESS, UNCW - WILMINGTON, NC. TEACHER. STARTED 12/10/2010. 5 HOURS WEEKLY, 0 DURING TRADING HOURS. 2. LANDFALL COUNTRY CLUB - WILMINGTON, NC. CHARITY GRANTS COMMITTEE MEMBER. STRATED 02/04/2011. 3 HOURS WEEKLY, 0 DURING TRADING HOURS. NOT INVESTMENT RELATED 3. Address: Wilmington, NC - Nature of the Business: Support Company/DBA (Non-Owner) - Position/Title: Advisor - Investment Related: No - Start Date: 03/31/2017 - Hours per month devoted to this business: 0 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis Giblin's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

February 1, 2021 - Present

DOVETAIL FINANCIAL GROUP LLC

Office #1: 210-4 Avondale Ave, Wilmington, NC 28403-7059

RIA

CRD#: 311298

Wilmington, NC

Past

June 29, 2009 - December 31, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

WILMINGTON, NC

Past

April 24, 2009 - December 31, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WILMINGTON, NC

Past

May 15, 2006 - May 11, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WILMINGTON, NC

Past

May 5, 2006 - May 11, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WILMINGTON, NC

Past

July 8, 2003 - March 15, 2006

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 11, 2002 - March 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 28, 1996 - April 11, 2002

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

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".

DOVETAIL FINANCIAL GROUP LLC

DOVETAIL FINANCIAL GROUP LLC | TRANSITUS WEALTH PARTNERS LLC

CRD#: 311298 / SEC#: 801-119910

RIA

Registered Investment Advisory firm - (12/9/2020 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(2/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/14/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/27/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/2001

General Securities Principal Examination

Current Firm

DOVETAIL FINANCIAL GROUP LLC

DOVETAIL FINANCIAL GROUP LLC | TRANSITUS WEALTH PARTNERS LLC

CRD#: 311298 / SEC#: 801-119910

RIA

Registered Investment Advisory firm - (12/9/2020 Approved)

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Contact information

Main Address

210-4 Avondale Ave, Wilmington, NC 28403-7059

Mailing Address

Phone number

(910) 395-1991

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOVETAIL FINANCIAL GROUP LLC ADV PART 2A (5/9/2025)

Regulatory assets under management

Total Number of Accounts	882
AUM (Assets Under Management)	$ 258,530,813

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.

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Advisor Monitoring

Firm Stability Insights

Michael D. Giblin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis Giblin's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

OPPENHEIMER & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HERZOG, HEINE, GEDULD, LLC

Primary Firm SEC Registration

DOVETAIL FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2006

Series 63

Date: 5/14/1996

SIE

Date: 10/1/2018

Series 55

Date: 3/16/1999

Series 7

Date: 2/27/1996

Series 24

Date: 10/24/2001

Current Firm

DOVETAIL FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOVETAIL FINANCIAL GROUP LLC

TRUST BUT VERIFY

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