Gordon Hoo
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 Hoo was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1986. Gordon had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2021 - July 18, 2022
CITY NATIONAL SECURITIES, INC.
August 2, 2021 - July 18, 2022
CITY NATIONAL SECURITIES, INC.
July 15, 2014 - July 12, 2021
J.P. MORGAN SECURITIES LLC
June 23, 2014 - July 12, 2021
J.P. MORGAN SECURITIES LLC
July 15, 2013 - April 1, 2014
D.A. DAVIDSON & CO.
August 13, 2012 - September 3, 2013
SEATTLE-NORTHWEST SECURITIES CORPORATION
August 10, 2011 - August 13, 2012
ALAMO CAPITAL
January 10, 2005 - July 6, 2011
STONE & YOUNGBERG LLC
May 12, 2004 - January 6, 2005
CHARLES SCHWAB & CO., INC.
January 2, 2002 - February 19, 2004
RANGEMARK CAPITAL MARKETS, INC.
October 8, 1992 - November 2, 2001
UBS FINANCIAL SERVICES INC.
March 23, 1992 - October 8, 1992
W.J. NOLAN & COMPANY, INC.
May 20, 1986 - May 3, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
