Stephen H. Gordon
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.
Stephen H Gordon, who also goes by Stephen Howard Gordon, Steve Gordon, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 15 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2017 - January 16, 2019
MML INVESTORS SERVICES, LLC
March 25, 2017 - January 16, 2019
MML INVESTORS SERVICES, LLC
October 1, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
September 29, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 29, 2015 - September 23, 2015
PRUCO SECURITIES, LLC.
January 8, 2015 - September 23, 2015
PRUCO SECURITIES, LLC.
January 13, 2012 - November 13, 2014
MORGAN STANLEY
January 13, 2012 - November 13, 2014
MORGAN STANLEY
February 16, 2010 - January 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2010 - January 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2000 - December 16, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 21, 1985 - August 8, 1988
SIGNATOR INVESTORS, INC.
February 24, 1984 - March 2, 1984
CONTISECURITIES, INC.
May 16, 1983 - June 20, 1983
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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 15
Date: 5/13/1983
Foreign Currency Options ExaminationCurrent Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
