Gina M. Giannone
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.
Gina Marie Giannone was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 1987. Gina had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 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
February 2, 2018 - April 11, 2019
MORGAN STANLEY
February 2, 2018 - April 11, 2019
MORGAN STANLEY
August 25, 2017 - December 14, 2017
MERCER GLOBAL ADVISORS INC.
November 16, 2012 - November 3, 2016
AST INVESTMENT SERVICES, INC.
November 16, 2012 - November 3, 2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 19, 2012 - November 2, 2012
PRIVATE ADVISOR GROUP, LLC
February 14, 2012 - November 5, 2012
LPL FINANCIAL LLC
January 7, 2011 - November 16, 2011
NORTHEAST ASSET MANAGEMENT LLC
August 10, 2009 - November 16, 2011
NORTHEAST SECURITIES, LLC
March 4, 2008 - May 19, 2009
WESTPORT RESOURCES MANAGEMENT INC
November 20, 2007 - May 19, 2009
SMH CAPITAL INVESTMENTS LLC
January 23, 2004 - October 26, 2007
BARCLAYS CAPITAL INC.
June 7, 1999 - December 3, 2002
DEUTSCHE BANK SECURITIES INC.
January 6, 1995 - June 7, 1999
DB ALEX. BROWN LLC
October 2, 1991 - December 2, 1994
MORGAN STANLEY & CO. LLC
October 20, 1987 - November 2, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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.
