Gordon L. Arabian
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 Lester Arabian JR, who also goes by Gordon L Arabian Jr, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1985. Gordon had worked at 6 firms and has passed the Series 65, 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
January 26, 2011 - September 28, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 25, 2008 - January 20, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 29, 2004 - June 24, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 16, 2004 - September 28, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 21, 2000 - March 22, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1999 - March 22, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 21, 1989 - November 11, 1999
MONY SECURITIES CORPORATION
January 21, 1985 - September 23, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 21, 1985 - September 23, 1989
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
