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MG

Michael P. Gaul

PHOENIX IB
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 4029406
MG

Professional summary

Michael Patrick Gaul, who also goes by Mike Gaul, is a registered financial professional currently at PHOENIX IB located in Chadds Ford, Pennsylvania.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Gaul

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick Gaul's 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®
None

Experience

Current

December 18, 2007 - Present

PHOENIX IB

Office #1: 110 Commons Court, Chadds Ford, PA 19317Office #2: 110 Commons Court, Chadds Ford, PA 19317
BD
CRD#: 132710
Chadds Ford, PA
Past

February 11, 2000 - July 16, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(12/18/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PHOENIX IB
OCEAN TOMO INVESTMENTS | PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES | PM SECURITIES, LLC | PHOENIX IB | PHOENIX CAPITAL RESOURCES

CRD#: 132710 / SEC#: , 8-66628

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
110 Commons Court, Chadds Ford, PA 19317
Mailing Address
110 Commons Court, Chadds Ford, PA 19317
Phone number
(610) 358-4700
Established
Delaware since 07/07/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PHOENIX CAPITAL RESOURCES, LLCMEMBER
KARBINER, MARK ALANPRESIDENT4233458
SPINDEL, HOWARDCCO708042
SUTTERS, MICHAEL KEITHFINANCIAL OPERATIONS PRINCIPAL6972896

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.

Company Information

PHOENIX IB

CRD#: 132710Chadds Ford, PA 19317

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