Gimson Yee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gimson Yee, who also goes by Gimson Andrew Yee, was a registered financial professional .
Gimson is a previously registered financial professional and started their career in finance in 1984. Gimson had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 4, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - October 8, 2019
MORGAN STANLEY
August 8, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 28, 2005 - July 11, 2005
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
February 27, 2002 - June 18, 2003
SCOTIA CAPITAL (USA) INC.
September 11, 1996 - March 11, 2002
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
February 7, 1995 - July 17, 1996
FIRST INSTITUTIONAL SECURITIES, L.L.C.
December 2, 1992 - February 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1986 - November 13, 1992
CITIGROUP GLOBAL MARKETS INC.
May 22, 1984 - January 15, 1986
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/25/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 8/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
