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MG

Michael E. Gaugler

HUNTINGTON SECURITIES
Charlotte, NC 28280
Some features on this profile are disabled
CRD#: 4628146
MG

Professional summary

Michael E Gaugler, who also goes by Michael E Gaugler, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael E Gaugler

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 E Gaugler'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

March 2, 2026 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 101 S. Tryon St Suite 1810, Charlotte, NC 28280
BD
CRD#: 2261
Charlotte, NC
Past

February 19, 2015 - February 12, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Royersford, PA
Past

March 31, 2006 - February 19, 2015

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

August 13, 2004 - April 10, 2006

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

May 21, 2004 - September 3, 2004

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

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
Alabama
(3/2/2026)
RR
Arizona
(3/2/2026)
RR
Arkansas
(3/2/2026)
RR
California
(3/2/2026)
RR
Colorado
(3/2/2026)
RR
Connecticut
(3/2/2026)
RR
Florida
(3/2/2026)
RR
Georgia
(3/2/2026)
RR
Illinois
(3/2/2026)
RR
Indiana
(3/2/2026)
RR
Kentucky
(3/2/2026)
RR
Louisiana
(3/2/2026)
RR
Massachusetts
(3/2/2026)
RR
Michigan
(3/2/2026)
RR
Missouri
(3/2/2026)
RR
Montana
(3/2/2026)
RR
New Jersey
(3/2/2026)
RR
New Mexico
(3/2/2026)
RR
New York
(3/2/2026)
RR
North Carolina
(3/2/2026)
RR
Ohio
(3/2/2026)
RR
Oregon
(3/2/2026)
RR
Pennsylvania
(3/2/2026)
RR
Rhode Island
(3/2/2026)
RR
Tennessee
(3/2/2026)
RR
Texas
(3/2/2026)
RR
Utah
(3/2/2026)
RR
Virginia
(3/2/2026)
RR
West Virginia
(3/2/2026)
RR
Wisconsin
(3/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/11/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/31/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 5/20/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.

CRD#: 2261 / SEC#: , 8-5761

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

Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HUNTINGTON BANCSHARES INCORPORATEDDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
BORRELLI, MARK ROBERTGENERAL COUNSEL/SECRETARY6803711
COSTANZO, SAMANTHA ANNDIRECTOR4133695
DIBOWSKI, TERRAHEAD OF BROKERAGE OPERATIONS5468840
FITZSIMMONS, DAVID RAYMONDHEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR4245434
HERBERT, KATHERINE ELEANORCONTROLLER/FINOP6412263
HOHENSTEIN, THOMASCFO3123815
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISPRESIDENT6419334
SZWAGULAK, JOHN W IIICHIEF COMPLIANCE OFFICER4033023
WALTHER, KATHLEENDIRECTOR7858303

Disclosures

Regulatory Event8

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

HUNTINGTON SECURITIES, INC.

CRD#: 2261Charlotte, NC 28280

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