Mary F. 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.
Mary Fleming Gee, who also goes by Mary Swayze Fleming, Mary Fleming, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1978. Mary had worked at 8 firms and has passed the Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1995 - August 29, 2012
LAMON & STERN, INC.
September 6, 1990 - December 22, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1988 - May 10, 1990
CITIGROUP GLOBAL MARKETS INC.
October 10, 1986 - September 30, 1987
CIBC WORLD MARKETS CORP.
February 1, 1984 - October 22, 1986
MOSELEY SECURITIES CORPORATION
July 10, 1981 - January 31, 1984
MORGAN STANLEY DW INC.
September 26, 1978 - August 4, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
LAMON & STERN, INC.
CRD#: 10839 / SEC#: , 8-28694
Contact information
Documents
Disclosures
| Regulatory Event | 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.
