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GY

Gordon A. Yale

CBC SECURITIES
Newton, MA 02467
Some features on this profile are disabled
CRD#: 1010194
GY

Professional summary

Gordon Allen Yale is a registered financial professional currently at CBC SECURITIES, INC. located in Newton, Massachusetts.

Gordon is registered as a RR (Registered Representative) and started their career in finance in 1990. Gordon has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
YALE GROUP, INC. - PRESIDENT 725 NEWPORT STREET, DENVER, CO 80220 INVESTMENT RELATED BUSINESS - FINANCIAL ADVISORY AND PRIVATE PLACEMENT. YALE LLC - MANAGING MEMBER 725 NEWPORT STREET, DENVER, CO 80220 PROVIDE EXPERT WITNESS TESTIMONY IN SECURITIES FRAUD AND AUDIT NEGLIGENCE MATTERS. BOARD MEMBER OF EFFICIENCY ENERGY, LLC., 288 CLAYTON STREET, SUITE 302, DENVER, COLORADO 80206. EFFICIENCY ENERGY PROVIDES CONSULTING AND OTHER SERVICES RELATED TO TAX BENEFITS OFFERED BY THE FEDERAL GOVERNMENT FOR UTILIZING ENERGY EFFICIENT LIGHTING AND HVAC SYSTEMS. THREE OR FOUR HOURS EVERY QUARTER ON EE ACTIVITIES. PRIMARY DUTIES ARE TYPICAL DUTIES OF A MEMBER OF A BOARD OF DIRECTORS OF A BUSINESS, OVERSEEING GENERAL POLICY AND REVIEWING BUSINESS OPERATIONS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gordon Allen Yale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 30, 2019 - Present

CBC SECURITIES, INC.

Office #1: 250 Hammond Pond Parkway Unit 1412n, Newton, MA 02467
BD
CRD#: 46153
Newton, MA
Past

March 23, 2019 - January 5, 2023

RED CEDAR CAPITAL, LLC

RIA
CRD#: 141642
DENVER, CO
Past

January 24, 2005 - April 30, 2007

W.G. NIELSEN & CO.

BD
CRD#: 41093
DENVER, CO
Past

December 21, 1998 - November 15, 2018

CBC SECURITIES, INC.

BD
CRD#: 46153
DENVER, CO
Past

November 9, 1990 - March 8, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(9/24/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/30/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CBC SECURITIES, INC.
CBC SECURITIES, INC. | THE YALE GROUP, INC.

CRD#: 46153 / SEC#: , 8-51315

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
250 Hammond Pond Parkway Unit 1412n, Newton, MA 02467
Mailing Address
250 Hammond Pond Parkway Unit 1412n, Newton, MA 02467
Phone number
(857) 707-2198
Established
Colorado since 09/02/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHENGHE GROUP LTDDIRECT OWNER
CONCORDIA BOSTON CAPITAL, INCDIRECT OWNER
BASKETT, ERINPRINCIPAL4538604
BEVAUN, MARLONFINOP6259795
LIU, QIANGCEO6843524
LIU, QIANGCCO6843524

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

CBC SECURITIES, INC.

CRD#: 46153Newton, MA 02467

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