Michael Regis Gaetano

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2021 → 06/2024
  Td Ameritrade
  Southlake, TX
• 03/2021 → 10/2021
  Crumbl
  Rancho Santa Margarita, CA
• 03/2016 → 04/2021
  Nordic Security Services
  Costa Mesa, CA
• 06/2024 → 12/2024
  Charles Schwab And Co., Inc.
  Southlake, TX
• 12/2024 → 10/2025
  Wells Fargo Clearing Services, Llc
  Southlake, TX
• 10/2025 → Present
  Stifel, Nicolaus & Company, Incorporated (Org Id: 793)
  Fort Worth, TX

Previous Registrations

• 2025-01-17 → 2025-08-13
  Wells Fargo Clearing Services, Llc
  Southlake, TX

Other Businesses

1. Celtic Family Finance LLC; 5473 Blair Rd STE 100 Dallas, TX 75231; Family Finance llc name holder; Owner; No duties; 08/01/2025; 0hrs/day; Not during securities trading hours; Not investment related 2. State of Texas Notary; 1420 Park Place Avenue Bedford, TX 76022; Notary; Notary for Stifel; Notarizing Documents For Client at Stifel; 11/28/2025; 3 hrs/week; during securities trading hours; Not Investment-Related

Exams

• S66 Uniform Combined State Law Examination
  2024-10-02
• S63 Uniform Securities Agent State Law Examination
  2023-03-24

Other Names

• Michael Regis Gaetano
• Michael R Gaetano