Robert D. 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.
Robert Douglas Gordon, who also goes by Bob Gordon, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
March 18, 2015 - August 3, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 27, 2015 - August 3, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 28, 2013 - February 27, 2015
FOOTHILL SECURITIES, INC.
April 23, 2010 - February 27, 2015
FOOTHILL SECURITIES, INC.
August 25, 2006 - April 27, 2010
PLANMEMBER SECURITIES CORPORATION
October 5, 1984 - August 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 1983 - October 12, 1984
FSC SECURITIES CORPORATION
May 24, 1982 - October 17, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
October 6, 1981 - November 25, 1981
WADDELL & REED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
