Michael J. Gaab
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Joseph Gaab, who also goes by Michael J Gaab, Michael Gaab, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2016 - October 27, 2016
SCOTTRADE INVESTMENT MANAGEMENT
November 7, 2014 - October 27, 2016
SCOTTRADE, INC.
January 30, 2013 - November 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2010 - February 4, 2011
ALLSTATE FINANCIAL SERVICES, LLC
October 10, 2007 - January 2, 2009
EVERLAKE DISTRIBUTORS, LLC
January 16, 2004 - October 1, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 13, 2003 - January 16, 2004
CITICORP INVESTMENT SERVICES
February 5, 2003 - January 16, 2004
CITICORP INVESTMENT SERVICES
September 7, 1999 - February 5, 2003
CAL FED INVESTMENTS
June 9, 1997 - September 17, 1999
WELLS FARGO SECURITIES INC.
June 4, 1996 - August 5, 1996
WOODBURY 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
Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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