Simon J. Gisby
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.
Simon Jonathan Gisby, who also goes by Simon J Gisby, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1993. Simon had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2004 - June 18, 2025
DELOITTE CORPORATE FINANCE LLC
November 28, 2001 - January 30, 2004
HOULIHAN LOKEY CAPITAL, INC.
October 31, 2000 - April 19, 2001
UBS SECURITIES LLC
March 15, 1995 - January 19, 2001
UBS FINANCIAL SERVICES INC.
February 8, 1993 - May 19, 1995
COVA CAPITAL, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
DELOITTE CORPORATE FINANCE LLC
CRD#: 111747 / SEC#: , 8-53196
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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