Gordon R. Mcpike
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 Randolph Mcpike was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1984. Gordon had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
July 13, 2012 - December 31, 2015
CADARET, GRANT & CO., INC.
September 4, 2009 - July 16, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 20, 2004 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 24, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 27, 1984 - July 16, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 27, 1984 - July 16, 2004
OSAIC FA, 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
