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SM

Stewart L. Michaels

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CRD#: 836272
SM

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.

Stewart Leslie Michaels was a registered financial professional .

Stewart is a previously registered financial professional and started their career in finance in 1980. Stewart had worked at 9 firms and has passed the Series 63, PC, Series 7 and Series 40 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 15, 2000 - September 11, 2002

GAINEY FINANCIAL SERVICES, INC.

BD
CRD#: 27968
SCOTTSDALE, AZ
Past

October 15, 1997 - June 12, 2000

HERITAGE WEST SECURITIES, INC.

BD
CRD#: 30718
SCOTTSDALE, AZ
Past

March 7, 1995 - October 14, 1997

GAINEY FINANCIAL SERVICES, INC.

BD
CRD#: 27968
SCOTTSDALE, AZ
Past

April 10, 1992 - February 23, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

October 2, 1991 - April 1, 1992

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

February 25, 1991 - September 23, 1991

REICH & CO., INC.

BD
CRD#: 3148
Past

October 20, 1989 - December 8, 1990

HASAN GROWNEY CO. INC.

BD
CRD#: 17137
Past

January 31, 1989 - September 9, 1989

ROBYNS CAPITAL CORP.

BD
CRD#: 19980
Past

August 31, 1984 - March 4, 1988

ADVEST, INC.

BD
CRD#: 10
Past

December 3, 1980 - February 4, 1983

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

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
Series 63
Date: 7/10/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 6/19/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 6/16/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 3/28/1977
Registered Principal Examination

Current Firm

GF
GAINEY FINANCIAL SERVICES, INC.
GAINEY FINANCIAL GROUP | W.B. MCKEE SECURITIES, INC. | GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968 / SEC#: , 8-43337

BD
Terminated by SEC on 01/10/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 12/05/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCKEE AND COMPANYHOLDING COMPANY
JAZWIN, MARK JOSEPHFINOP, PRESIDENT, CEO, PRINCIPAL2711432
ATKINS, SUSAN SOFIAVICE PRESIDENT, PRINCIPAL, ROP2991980
KOONTZ, JAN CHARLESVICE PRESIDENT, DIRECTOR2389720

Disclosures

Regulatory Event7
Arbitration4

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

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

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