Simon L. Gill

NEEDHAM & COMPANY

New York, NY 10177

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CRD#: 1454270

Professional summary

Simon Loyd Gill, who also goes by Simon Lyod Gill, is a registered financial professional currently at NEEDHAM & COMPANY, LLC located in New York, New York.

Simon is registered as a RR (Registered Representative) and started their career in finance in 1986. Simon has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simon Lyod Gill

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon Loyd Gill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 8, 2010 - Present

NEEDHAM & COMPANY, LLC

Office #1: 250 Park Avenue 10th Floor, New York, NY 10177

RIA

CRD#: 16360

New York, NY

Past

February 29, 2008 - December 18, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 18, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

July 21, 2003 - April 4, 2006

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

October 13, 1999 - January 29, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 12, 1997 - September 30, 1999

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

January 3, 1995 - May 14, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

April 12, 1989 - January 3, 1995

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

CRD#: 4341

NEW YORK, NY

Past

April 3, 1986 - November 16, 1987

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/8/2010)

Connecticut
(11/27/2024)

Massachusetts
(1/8/2010)

New York
(1/8/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2001

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Park Avenue 10th Floor, New York, NY 10177

Mailing Address

250 Park Avenue 10th Floor, New York, NY 10177

Phone number

(212) 371-8300

Established

Delaware since 04/04/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

185

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEEDHAM HOLDINGS, LLC	MEMBER
IACOVONE, JACK JAMES	MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING	2877398
PRIOR, JOHN JOSEPH JR	MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.	1076802
ABBRUZZESE, JAMES MICHAEL	MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES	2960715
FIORDALISO, ROBERT JOSEPH	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	2518397
LAUFER, DAVID MICHAEL	MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING	4336854
MALIK, ANDREW JOSEPH	MANAGING DIRECTOR, CHAIRMAN	317860
MALLOY, JOHN PATRICK	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	5322002
MALONEY, THOMAS ANTHONY	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	2386331
MERLINO, SALVATORE ANTHONY	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	4397078

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Simon L. Gill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon Loyd Gill's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

NEEDHAM & COMPANY, LLC

PRUDENTIAL EQUITY GROUP, LLC

SCHRODER & CO. INC.

SBC WARBURG, INC.

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1989

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 24

Date: 4/5/2001

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

NEEDHAM & COMPANY, LLC

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEEDHAM & COMPANY, LLC

TRUST BUT VERIFY

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