Gordon E. Marshall
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.
Gordon Edwin Marshall JR, who also goes by Gordon E Marshall Jr, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1983. Gordon had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 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
June 22, 2007 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 5, 2002 - March 23, 2007
OSAIC INSTITUTIONS, INC.
July 13, 1999 - October 23, 2000
CITIZENS SECURITIES, INC.
August 6, 1998 - February 24, 1999
OSAIC INSTITUTIONS, INC.
May 23, 1996 - August 4, 1998
CITIZENS SECURITIES, INC.
November 6, 1992 - February 29, 1996
FIS SECURITIES, INC.
September 25, 1990 - January 29, 1991
BARRETT & COMPANY
September 25, 1986 - October 3, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
August 8, 1983 - December 29, 1983
LEHMAN BROTHERS 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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