Michael F. Gaona

TEAMWORK FINANCIAL ADVISORS

NEW BRAUNFELS, TX 78130

Some features on this profile are disabled

CRD#: 6742148

Professional summary

Michael Francisco Gaona is a registered financial advisor currently at TEAMWORK FINANCIAL ADVISORS, LLC located in New Braunfels, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Michael has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael Francisco Gaona'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

August 12, 2019 - Present

TEAMWORK FINANCIAL ADVISORS, LLC

Office #1: 200 N. Seguin Ste. 9, New Braunfels, TX 78130

RIA

CRD#: 165237

NEW BRAUNFELS, TX

Past

November 20, 2018 - August 15, 2019

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

May 15, 2018 - August 15, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Cibolo, TX

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".

TEAMWORK FINANCIAL ADVISORS, LLC

TEAMWORK FINANCIAL ADVISORS LLC | TEAMWORK FINANCIAL ADVISORS, LLC

CRD#: 165237 / SEC#: 801-114801

RIA

Registered Investment Advisory firm - (3/6/2019 Approved)

Texas

Registered Investment Advisory firm - (3/27/2019 Terminated)

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

Texas
(8/12/2019)

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

IAR

Series 65

Date: 6/24/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/19/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2018

General Securities Representative Examination

Current Firm

TEAMWORK FINANCIAL ADVISORS, LLC

TEAMWORK FINANCIAL ADVISORS LLC | TEAMWORK FINANCIAL ADVISORS, LLC

CRD#: 165237 / SEC#: 801-114801

RIA

Registered Investment Advisory firm - (3/6/2019 Approved)

Texas

Registered Investment Advisory firm - (3/27/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8 Dominion Drive Bldg 100-103, San Antonio, TX 78257

Mailing Address

Phone number

(210) 687-1333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TEAMWORK FINANCIAL ADVISORS, LLC ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	4,253
AUM (Assets Under Management)	$ 800,455,586

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.

Similar Advisors

Lee Oleinick

UBS FINANCIAL SERVICES INC.

IAR

Boca Raton, FL

Jackson Tiller

NYLIFE SECURITIES LLC

CHARLESTON, SC

David Given

CURTIS ADVISORY GROUP, LLC

IAR

Santa Barbara, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael F. Gaona

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francisco Gaona's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

TEAMWORK FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2022

Series 66

Date: 11/19/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2018

Current Firm

TEAMWORK FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEAMWORK FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors