Roger 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.
Roger Hirsh Gordon was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 6 firms and has passed the Series 63, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2010 - March 28, 2012
STONEHAVEN, LLC
September 5, 2007 - December 1, 2008
DKR CAPITAL SECURITIES CORP.
December 2, 2003 - August 4, 2004
BANC ONE CAPITAL MARKETS, INC.
September 29, 1999 - April 15, 2002
GOLDMAN SACHS & CO. LLC
August 28, 1992 - March 5, 1998
PERSHING LLC
September 25, 1984 - September 26, 1985
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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