Michael R. Gault
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 Robert Gault, who also goes by Mike Gault, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - November 11, 2019
PWP SECURITIES LLC
November 4, 2014 - September 9, 2015
CFWP SECURITIES, LLC
July 19, 2012 - August 20, 2013
APW CAPITAL, INC.
August 16, 2005 - July 14, 2006
UBS FINANCIAL SERVICES INC.
December 6, 2004 - August 12, 2005
MBSC, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PWP SECURITIES LLC
CRD#: 171349 / SEC#: , 8-69456
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
