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MC

Michael P. Carley

Some features on this profile are disabled
CRD#: 5230414
MC

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 Patrick Carley was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 2 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 18, 2013 - September 20, 2024

KPG CAPITAL PARTNERS, LLC

BD
CRD#: 165392
PARK CITY, UT
Past

October 13, 2006 - June 17, 2013

APB FINANCIAL GROUP, LLC

BD
CRD#: 38235
PARK CITY, UT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/19/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/21/2018
NFA Branch Manager Examination

Current Firm

KC
KPG CAPITAL PARTNERS, LLC
KPG CAPITAL PARTNERS, LLC

CRD#: 165392 / SEC#: , 8-69158

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1389 Center Drive Suite 200, Park City, UT 84098
Mailing Address
1389 Center Drive Suite 200, Park City, UT 84098
Phone number
(212) 588-8889
Established
Delaware since 12/11/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GETTINGER, KENNETH PAULMANAGING MEMBER, EXECUTIVE REP., & GSP1511817
BUSHMAN, SHAUNA NMNCHIEF COMPLIANCE OFFICER, FINOP/CFO, CE OFFICER, AML OFFICER & GSP5231277

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.

Company Information

KPG CAPITAL PARTNERS, LLC

CRD#: 165392

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