Michael T. Gastineau
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 Thomas Gastineau, who also goes by Mike Gastineau, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2019 - August 12, 2026
CAPITAL CLIENT GROUP, INC.
August 21, 2017 - January 17, 2019
PAYCHEX SECURITIES CORPORATION
March 6, 2012 - August 17, 2017
ONEAMERICA SECURITIES, INC.
January 1, 2009 - March 5, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
November 16, 2005 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
January 27, 2004 - July 8, 2005
THE HUNTINGTON INVESTMENT COMPANY
April 8, 2003 - July 8, 2005
THE HUNTINGTON INVESTMENT COMPANY
November 3, 2000 - March 14, 2003
MORGAN STANLEY DW INC.
September 13, 2000 - March 14, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (24 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
