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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Gauldin is an investment advisor representative with Morgan Stanley in Kansas City, Missouri. Michael is a veteran of the financial industry with over 30 years of experience. Michael has a strong track record of providing personalized financial advice and portfolio management services to a diverse range of clients. Michael holds a wide range of licenses and certifications including Series 3, 7, 8, 9, 10, 63 and 65, and he is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Michael is committed to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MO
01/06/2016 - Present
Morgan Stanley (Kansas City MO)
MO
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (KANSAS CITY MO)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/24/1987 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 03/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2002
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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