Gaye M. Goodwin
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.
Gaye Mundy Goodwin, who also goes by Gaye Mundy Elaine, Elaine Goodwin, Gayne Mundy Goodwin, Gaye Elaine Mundy, was a registered financial professional .
Gaye is a previously registered financial professional and started their career in finance in 1987. Gaye had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 11, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2012 - January 30, 2013
MORGAN STANLEY
April 16, 2012 - January 30, 2013
MORGAN STANLEY
November 1, 1995 - July 17, 1996
AXIS TRADING CORPORATION
April 14, 1993 - June 14, 1993
ALL-TECH DIRECT, INC.
July 19, 1989 - August 24, 1990
KIDDER, PEABODY & CO. INCORPORATED
March 9, 1989 - August 23, 1989
FRIEDMAN, LUZZATTO & CO.
July 7, 1988 - February 13, 1989
J.P. MORGAN SECURITIES LLC
December 1, 1987 - June 3, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
August 31, 1987 - December 7, 1987
BRENNER STEED, INC.
February 25, 1987 - May 7, 1987
USA SECURITIES, 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 11
Date: 4/13/1993
Assistant Representative-Order Processing Qualification ExamCurrent 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.
