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Michael Ray Gauldin

Morgan Stanley

Kansas City, MO

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-01-06
KS RA APPROVED 2013-05-09
MO RA APPROVED 2009-06-01
  • TX RA
    APPROVED
    Since 2016-01-06
  • KS RA
    APPROVED
    Since 2013-05-09
  • MO RA
    APPROVED
    Since 2009-06-01

Branch Locations

4520 Main Street, Kansas City, MO 64111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Kansas City MO 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Kansas City, MO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-10
S63 Uniform Securities Agent State Law Examination 1987-11-20
  • S65 Uniform Investment Adviser Law Examination
    1992-03-10
  • S63 Uniform Securities Agent State Law Examination
    1987-11-20
Other Names
  • Mike Gauldin

View on SEC IAPD

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MARKET INVESTMENT GROUP, LLC

Other Investors

FRANK JOSEPH JANACARO
SETH ALLAN KEETHLER
William Scott Wiley
Frederick G Prewitt
JOSEPH MARINO ST GEORGE
Joseph T Yates
ADELINE ELIZABETH KROPF
Michael Andrew Keeton

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Kansas City, MO
LPL FINANCIAL LLC · Kansas City, MO
U.S. BANCORP ADVISORS, LLC · Kansas City, MO
EDWARD JONES · KANSAS CITY, MO
DOMINION PORTFOLIO MANAGEMENT, INC. · KANSAS CITY, MO
COPPER FINANCIAL · Kansas City, MO
OSAIC WEALTH, INC. · KANSAS CITY, MO
EDWARD JONES · KANSAS CITY, MO

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