Michael W. Gallagher

PECAUT & CO.

LAKE OSWEGO, OR 97035

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CRD#: 5214525

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Gallagher

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) - RIA

Click below to view Michael William Gallagher'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®

None

Experience

Current

April 6, 2021 - Present

PECAUT & CO.

Office #1: 4248 Galewood St., Lake Oswego, OR 97035

RIA

CRD#: 2997

LAKE OSWEGO, OR

Past

March 30, 2015 - April 1, 2021

TPG FINANCIAL ADVISORS, LLC

RIA

CRD#: 141153

PORTLAND, OR

Past

March 26, 2015 - June 4, 2019

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

PORTLAND, OR

Past

March 23, 2015 - June 4, 2019

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

PORTLAND, OR

Past

June 1, 2009 - April 7, 2015

MORGAN STANLEY

RIA

CRD#: 149777

PORTLAND, OR

Past

June 1, 2009 - April 7, 2015

MORGAN STANLEY

CRD#: 149777

PORTLAND, OR

Past

July 18, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PORTLAND, OR

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PORTLAND, OR

Past

October 10, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PORTLAND, OR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PECAUT & CO.

PECAUT & CO. | PECAUT WEALTH MANAGEMENT

CRD#: 2997 / SEC#: 801-49498, 8-22161

RIA

Registered Investment Advisory firm - SEC (6/23/1995 Approved)

Illinois

Registered Investment Advisory firm - SEC (1/13/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (1/5/2004 Cancelled)

Terminated by SEC on 02/17/2004

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Iowa
(4/6/2021)

IAR

Oregon
(4/6/2021)

IAR

Texas
(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

State Security Law Exam

Series 63

Date: 6/27/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/13/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/5/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/9/2006

General Securities Representative Examination

Current Firm

PECAUT & CO.

PECAUT & CO. | PECAUT WEALTH MANAGEMENT

CRD#: 2997 / SEC#: 801-49498, 8-22161

RIA

Registered Investment Advisory firm - SEC (6/23/1995 Approved)

Illinois

Registered Investment Advisory firm - SEC (1/13/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (1/5/2004 Cancelled)

Terminated by SEC on 02/17/2004

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Contact information

Main Address

401 Douglas St, Ste 415, Sioux City, IA 51101

Mailing Address

Phone number

(712) 252-3268

Established

Iowa since 09/01/1977

Firm type

Corporation

Fiscal year end

August

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PECAUT ADV 2A/2B (11/19/2025)

Direct owners and executive officers

Name	Position	CRD#
HARTMAN, STEWART CHURCHILL	VICE PRESIDENT	2482360
PECAUT, DANIEL SCOTT	PRESIDENT	870480
WRENN, COREY JOHN	TRASURER	2263802
PECAUT, RICHARD ARLEN	CHAIRMAN OF THE BOARD	359046
SISLEY, MARK LESLIE	COO	3179974

Regulatory assets under management

Total Number of Accounts	554
AUM (Assets Under Management)	$ 381,753,129

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.

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Advisor Monitoring

Firm Stability Insights

Michael W. Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Gallagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

TPG FINANCIAL ADVISORS, LLC

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PECAUT & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/2007

Series 65

Date: 6/13/2007

SIE

Date: 10/1/2018

Series 31

Date: 5/5/2008

Series 7

Date: 10/9/2006

Current Firm

PECAUT & CO.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PECAUT & CO.

TRUST BUT VERIFY

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