Jonathan R. 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.
Jonathan Richard Gordon, who also goes by Jon Gordon, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1998. Jonathan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 14, Series 53, Series 27, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2012 - July 6, 2015
USAA INVESTMENT SERVICES COMPANY
January 15, 2009 - July 6, 2015
USAA INVESTMENT SERVICES COMPANY
October 26, 2004 - November 13, 2008
J.P. MORGAN SECURITIES LLC
October 26, 2004 - November 13, 2008
J.P. MORGAN CLEARING CORP.
August 8, 2000 - August 20, 2004
INSTINET, LLC
August 1, 2000 - August 8, 2000
INSTINET, LLC
August 24, 1999 - August 1, 2000
REUTERS C CORPORATION
July 30, 1998 - October 6, 1999
CITICORP SECURITIES SERVICES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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 8
Date: 2/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
