Timothy A. Gee
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.
Timothy Andrew Gee, who also goes by Timothy A Gee, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2022 - August 2, 2023
CVEX MARKETS LLC
February 6, 2018 - October 13, 2021
LIQUIDNET, INC.
January 7, 2015 - June 29, 2017
INSTINET, LLC
August 19, 2010 - June 5, 2012
SG AMERICAS SECURITIES, LLC
July 1, 2005 - June 22, 2010
UBS SECURITIES LLC
March 11, 1996 - June 29, 2005
MORGAN STANLEY & CO. LLC
January 20, 1993 - March 4, 1996
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
CVEX MARKETS LLC
CRD#: 311448 / SEC#: , 8-70747
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CVEX GROUP, INC. | SOLE MEMBER | |
| BELEW, CHRISTOPHER MICHAEL | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 6961894 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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