Jack E. 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.
Jack Earl Gordon was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1984. Jack had worked at 14 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2005 - January 4, 2013
TRUSTMONT FINANCIAL GROUP, INC.
March 29, 2005 - October 3, 2005
BROADSTONE SECURITIES
March 9, 2004 - February 17, 2005
W. H. COLSON SECURITIES, INC.
August 22, 2002 - December 31, 2003
INVESTORS CAPITAL CORP.
January 23, 2002 - February 25, 2002
NORTHEAST SECURITIES, LLC
November 21, 2000 - August 30, 2002
LOCUST STREET SECURITIES, INC.
October 30, 2000 - November 6, 2000
C. J. M. PLANNING CORP.
March 2, 2000 - September 25, 2000
QUESTAR CAPITAL CORPORATION
June 9, 1997 - February 14, 2000
SIGMA FINANCIAL CORPORATION
February 6, 1997 - May 28, 1997
SII INVESTMENTS, INC.
May 21, 1996 - December 20, 1996
SII INVESTMENTS, INC.
January 14, 1994 - April 1, 1996
SECURITIES AMERICA, INC.
June 3, 1992 - January 4, 1994
OSAIC WEALTH, INC.
December 4, 1984 - April 8, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 4, 1984 - April 8, 1992
EQUITABLE ADVISORS, LLC
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
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
