Michael A. Gale
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 Alan Gale was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2004 - December 20, 2019
TRUIST SECURITIES, INC.
September 23, 2004 - January 3, 2022
TRUIST INVESTMENT SERVICES, INC.
January 23, 2002 - September 3, 2003
WORLD GROUP SECURITIES, INC.
January 18, 2000 - April 12, 2002
WMA SECURITIES, INC.
October 28, 1996 - April 24, 2000
GUARANTY BROKERAGE SERVICES, INC.
August 25, 1994 - December 4, 1997
BISYS SHELF B/D (1), INC.
October 18, 1993 - October 21, 1999
GOLDK INVESTMENT SERVICES, INC
March 22, 1993 - September 27, 1993
FIRST FIDELITY BROKERS, INC.
May 30, 1986 - March 4, 1993
JOHN HOWARD DISCOUNT BROKERAGE, INC.
January 12, 1983 - December 17, 1984
INVEST FINANCIAL CORPORATION
November 30, 1981 - June 17, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1979 - September 25, 1981
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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