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SG

Steven N. Gesing

Some features on this profile are disabled
CRD#: 717511
SG

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 Norman Gesing, who also goes by Steven Norman Gesing Mr., was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Norman Gesing Mr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 13, 2012 - April 26, 2021

ATALANTA SOSNOFF MANAGEMENT, LLC

RIA
CRD#: 11085
ANDOVER, MA
Past

September 11, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BOSTON, MA
Past

August 30, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 11, 2005 - August 22, 2007

EMERSON INVESTMENT MANAGEMENT LLC

RIA
CRD#: 104659
BOSTON, MA
Past

May 1, 2003 - August 27, 2004

MFS INSTITUTIONAL ADVISORS INC.

RIA
CRD#: 107144
BOSTON, MA
Past

July 10, 2000 - August 27, 2004

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

July 31, 1993 - April 16, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 24, 1980 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AS
ATALANTA SOSNOFF MANAGEMENT, LLC
ATALANTA SOSNOFF MANAGEMENT, LLC | MARTIN SOSNOFF SECURITIES CORPORATION | ATALANTA/SOSNOFF MANAGEMENT CORPORATION | ATALANTA/SOSNOFF MANAGEMENT CORP

CRD#: 11085 / SEC#: 801-22856, 8-27425

RIA
Registered Investment Advisory firm - SEC (11/28/1984 Approved)
BD
Terminated by SEC on 09/22/2006

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/7/2000
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 10/19/1981
Interest Rate Options Examination

Current Firm

AS
ATALANTA SOSNOFF MANAGEMENT, LLC
ATALANTA SOSNOFF MANAGEMENT, LLC | MARTIN SOSNOFF SECURITIES CORPORATION | ATALANTA/SOSNOFF MANAGEMENT CORPORATION | ATALANTA/SOSNOFF MANAGEMENT CORP

CRD#: 11085 / SEC#: 801-22856, 8-27425

RIA
Registered Investment Advisory firm - SEC (11/28/1984 Approved)
BD
Terminated by SEC on 09/22/2006
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
505 Fifth Avenue 17th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 867-5000
Established
New York since 12/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
37

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ATALANTA SOSNOFF MANAGEMENT, LLC PART 2A (3/26/2025)

Direct owners and executive officers

NamePositionCRD#
ATALANTA SOSNOFF CAPITAL, LLCPARENT CORPORATION
KELLY, KEVIN SEANPRESIDENT CEO, CFO, DIRECTOR, CCO3249552
NG, KIN WAISVP TRADER, SROP, CROP2410282

Regulatory assets under management

Total Number of Accounts592
AUM (Assets Under Management)$ 3,498,041,000

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.

Company Information

ATALANTA SOSNOFF MANAGEMENT, LLC

CRD#: 11085

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