Steven C. 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.
Steven Chu Gee, who also goes by Steven Gee, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 8 firms and has passed the Series 63, Series 3, Series 7 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
October 26, 2010 - November 22, 2013
SG AMERICAS SECURITIES, LLC
April 2, 2009 - October 13, 2010
MISSION CAPITAL LLC
September 5, 2006 - March 9, 2009
BARCLAYS CAPITAL INC.
October 24, 2005 - September 11, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
August 18, 2000 - May 6, 2005
CITIGROUP GLOBAL MARKETS INC.
March 20, 1998 - June 26, 2000
RANGEMARK CAPITAL MARKETS, INC.
November 26, 1993 - April 23, 1997
SANWA UNIVERSAL SECURITIES CO., LLC
September 4, 1990 - September 28, 1993
CITICORP SECURITIES, 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
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
