Michael G. Gardner
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 Gerald Gardner, who also goes by Michael Gardner, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 2 firms and has passed the Series 63, Series 87, Series 7, Series 16, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2014 - March 7, 2017
WILLIAM O'NEIL + COMPANY
April 7, 1998 - September 30, 2013
WEDBUSH SECURITIES INC.
Primary Firm SEC Registration
WILLIAM O'NEIL + COMPANY
CRD#: 152620 / SEC#: 801-120403
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
WILLIAM O'NEIL + COMPANY
CRD#: 152620 / SEC#: 801-120403
Contact information
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.
