Michael S. Gault

KEMPNER CAPITAL MANAGEMENT

GALVESTON, TX 77539

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CRD#: 4616666

Professional summary

Michael Shawn Gault, who also goes by Michael Shawn Miller, is a registered financial advisor currently at KEMPNER CAPITAL MANAGEMENT, INC. located in Galveston, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Shawn Miller

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) - RIA

Click below to view Michael Shawn Gault'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®

None

Experience

Current

December 17, 2002 - Present

KEMPNER CAPITAL MANAGEMENT, INC.

Office #1: 2201 Market Street 12th Floor, Galveston, TX, 77539

RIA

CRD#: 104784

GALVESTON, TX

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".

KEMPNER CAPITAL MANAGEMENT, INC.

KEMPNER CAPITAL MANAGEMENT INC | KEMPNER CAPITAL MANAGEMENT, INC. | KEMPNER CAPITAL MANAGEMENT LTD.

CRD#: 104784 / SEC#: 801-17585

RIA

Registered Investment Advisory firm - (9/15/1982 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

Texas
(12/17/2002)

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 65

Date: 12/10/2002

Uniform Investment Adviser Law Examination

Current Firm

KEMPNER CAPITAL MANAGEMENT, INC.

KEMPNER CAPITAL MANAGEMENT INC | KEMPNER CAPITAL MANAGEMENT, INC. | KEMPNER CAPITAL MANAGEMENT LTD.

CRD#: 104784 / SEC#: 801-17585

RIA

Registered Investment Advisory firm - (9/15/1982 Approved)

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Contact information

Main Address

2201 Market Street 12th Floor, Galveston, TX 77550

Mailing Address

P. O. Box 119, Galveston, TX 77553

Phone number

(409) 765-6671

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEMPNER ADV 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 218,299,193

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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Michael S. Gault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Shawn Gault's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEMPNER CAPITAL MANAGEMENT, INC.

Primary Firm SEC Registration

KEMPNER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2002

Current Firm

KEMPNER CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEMPNER CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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