Michael E. Gaul
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 Eric Gaul was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 66, 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
February 27, 2018 - June 2, 2021
TD AMERITRADE, INC.
February 26, 2018 - June 2, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - June 2, 2021
TD AMERITRADE, INC.
November 29, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 20, 2008 - February 26, 2018
SCOTTRADE, INC.
April 21, 2006 - July 9, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 31, 2006 - July 9, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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