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Michael Carle Gearty

Guggenheim Investments

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About Michael Carle Gearty

Michael Gearty is a financial professional with over 25 years of experience in the financial services industry. Michael is currently registered with Guggenheim Investments. In addition to his current role, Michael has held previous roles with UBS Financial Services Inc., Prudential Securities Incorporated, Refco Securities, Inc., Alliance Fund Distributors, Inc., Reich & Tang Distributors L.P. and Reich & Tang, L.P.

Firm Information

Michael Gearty is currently registered with Guggenheim Investments. Guggenheim Investments is an investment advisor based in NEW YORK, NY. The firm manages approximately $11,255,391,581 in regulatory assets under management for 138 accounts. The firm provides investment advice to investment companies and pooled investment vehicles.
Guggenheim Investments

330 MADISON AVENUE

NEW YORK, NY 10017

$11.26B

Assets Under Management

1

Total Clients

39

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Gearty’s Registration & Firm History

NY

08/25/2021 - Present

Guggenheim Investments (PORT WASHINGTON NY)

NJ

07/30/1999 - 04/08/2010

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

02/07/1997 - 07/27/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

11/09/1994 - 02/16/1996

REFCO SECURITIES, INC. (NEW YORK NY)

TN

03/25/1992 - 05/03/1993

ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)

NY

03/26/1991 - 01/28/1992

REICH & TANG DISTRIBUTORS L.P. (NEW YORK NY)

NA

12/04/1990 - 03/26/1991

REICH & TANG, L.P.

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Licenses & Designations

IA

Issued 05/23/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/11/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/29/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/03/1994

Series 3 - National Commodity Futures Examination

BC

Issued 12/03/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Carle Gearty.
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