Lawrence J. 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.
Lawrence Jay Gordon was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1984. Lawrence had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - March 31, 2016
TRICAPITAL ADVISORS INC
November 24, 1993 - December 31, 1998
ENERIC FINANCIAL SERVICES, INC.
October 15, 1984 - July 7, 1989
GORDON EQUITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TRICAPITAL ADVISORS INC
CRD#: 109224 / SEC#: 801-55933
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
