Michael A. Gagala

FNEX CAPITAL

Indianapolis, IN 46204

Some features on this profile are disabled

CRD#: 4864690

Professional summary

Michael Adam Gagala, AIF®, who also goes by Michael Gagala, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 15 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Gagala

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 Adam Gagala'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 19, 2025 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204

CRD#: 166316

Indianapolis, IN

Past

December 18, 2024 - May 12, 2025

LAZARD ASSET MANAGEMENT LLC

RIA

CRD#: 122836

NEW YORK, NY

Past

December 18, 2024 - May 12, 2025

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

February 23, 2024 - December 10, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

July 19, 2019 - February 7, 2024

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

NORTHVILLE, MI

Past

July 19, 2019 - February 7, 2024

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

July 25, 2017 - July 12, 2019

RUSSELL INVESTMENTS

RIA

CRD#: 105734

Rochester, MI

Past

July 24, 2017 - July 12, 2019

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

January 15, 2015 - July 11, 2017

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

December 8, 2011 - January 2, 2015

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

June 7, 2010 - November 22, 2011

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 1, 2010 - November 22, 2011

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

OAKBROOK TERRACE, IL

Past

March 4, 2010 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

March 1, 2010 - June 3, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

January 7, 2008 - December 31, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

CHICAGO, IL

Past

December 7, 2007 - December 31, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHICAGO, IL

Past

June 20, 2007 - November 2, 2007

EDWARD JONES

RIA

CRD#: 250

ELMHURST, IL

Past

May 24, 2007 - November 2, 2007

EDWARD JONES

CRD#: 250

ELMHURST, IL

State Registrations and Notice Filings

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

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

Alabama
(5/19/2025)

Alaska
(5/19/2025)

Arizona
(5/19/2025)

Arkansas
(5/19/2025)

California
(5/19/2025)

Colorado
(5/19/2025)

Connecticut
(5/19/2025)

Delaware
(5/19/2025)

District of Columbia
(5/19/2025)

Florida
(5/19/2025)

Georgia
(5/19/2025)

Hawaii
(5/19/2025)

Idaho
(5/19/2025)

Illinois
(5/19/2025)

Indiana
(5/19/2025)

Iowa
(5/19/2025)

Kansas
(5/19/2025)

Kentucky
(5/19/2025)

Louisiana
(5/19/2025)

Maine
(5/19/2025)

Maryland
(5/19/2025)

Massachusetts
(5/19/2025)

Michigan
(5/19/2025)

Minnesota
(5/19/2025)

Mississippi
(5/19/2025)

Missouri
(5/19/2025)

Montana
(5/19/2025)

Nebraska
(5/19/2025)

Nevada
(5/19/2025)

New Hampshire
(5/19/2025)

New Jersey
(5/19/2025)

New Mexico
(5/19/2025)

New York
(5/19/2025)

North Carolina
(5/19/2025)

North Dakota
(5/19/2025)

Ohio
(5/19/2025)

Oklahoma
(5/19/2025)

Oregon
(5/19/2025)

Pennsylvania
(5/19/2025)

Rhode Island
(5/19/2025)

South Carolina
(5/19/2025)

South Dakota
(5/19/2025)

Tennessee
(5/19/2025)

Texas
(5/19/2025)

Utah
(5/19/2025)

Vermont
(5/19/2025)

Virginia
(5/19/2025)

Washington
(5/19/2025)

West Virginia
(5/19/2025)

Wisconsin
(5/19/2025)

Wyoming
(5/19/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/7/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 1/8/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FNEX CAPITAL, LLC

APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Indiana Square Suite 2252, Indianapolis, IN 46204

Mailing Address

One Indiana Square Suite 2252, Indianapolis, IN 46204

Phone number

(317) 580-2588

Established

Indiana since 06/04/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FNEX, LLC	MEMBER
HEGER, LOREN EUGENE	CEO, CCO, AMLCO, EXEC. REP.	6143753
TEUFEL, FREDERICK CHARLES	FINOP	2092408

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.

Similar Advisors

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Tammy Williams

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Gagala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Adam Gagala's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

FORESIDE FUND SERVICES, LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

SENTINEL FINANCIAL SERVICES COMPANY

LINCOLN FINANCIAL DISTRIBUTORS, INC.

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

VAN KAMPEN ADVISORS INC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2007

Series 31

Date: 1/8/2025

SIE

Date: 10/1/2018

Series 7

Date: 5/23/2007

FINRA

Current Firm

FNEX CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FNEX CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors