Michael William Gallagher
Professional Summary
Michael William Gallagher, who also goes by Mike Gallagher, is a registered financial advisor currently at PECAUT & CO. located in Lake Oswego, Oregon. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Gallagher
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
PECAUT & CO. | PECAUT WEALTH MANAGEMENT
Contact Information
Main Address
401 Douglas St, Ste 415, Sioux City, IA 51101Phone Number
(712) 252-3268Established
Iowa since 09/01/1977Firm Type
CorporationFiscal Year End
August# of Employees
6SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
554AUM (Assets Under Management)
$381,753,129Similar Advisors
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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.
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Primary Firm SEC Registration
PECAUT & CO. | PECAUT WEALTH MANAGEMENT
State Registrations and Notice Filings
(4/6/2021)
(4/6/2021)
(11/19/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Michael William Gallagher's CRS (Customer Relationship Summary).
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