MG
MG
Michael Gearty
31 Years of Experience
Port Washington, NY
Broker
Michael Gearty is a registered investment advisor at Guggenheim Investments, based in Port Washington, NY, with 31 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 113 clients with $7.4B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
39 advisors
IM Fee
Planning only
Assets Under Management
$7.4B
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Location
Port Washington, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Investments
May 2014 - Present · 12 yrs 4 mos
Guggenheim Funds Distributors, LLC
March 2011 - Present · 15 yrs 6 mos
Guggenheim Funds Distributors, LLCBroker
March 2011 - Present · 15 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
July 1999 - April 2010 · 10 yrs 9 mos
Prudential Securities IncorporatedBroker
February 1997 - July 1999 · 2 yrs 5 mos
Refco Securities, INC.Broker
November 1994 - February 1996 · 1 yr 3 mos
Alliance Fund Distributors, INC.Broker
March 1992 - May 1993 · 1 yr 2 mos
Reich & Tang Distributors L.P.Broker
March 1991 - January 1992 · 10 mos
Reich & Tang, L.P.Broker
December 1990 - March 1991 · 3 mos
State Registrations4 states
CTFLILNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.