Donald F. 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.
Donald Francis Gordon JR, ChFC®, CLU®, who also goes by Donald F Gordon Jr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1990. Donald had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
November 19, 2008 - October 2, 2023
CADARET, GRANT & CO., INC.
January 5, 1998 - December 31, 2003
CADARET, GRANT & CO., INC.
January 2, 1998 - October 2, 2023
CADARET, GRANT & CO., INC.
July 25, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
August 28, 1996 - July 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 25, 1994 - September 6, 1996
NEW ENGLAND SECURITIES
June 28, 1994 - June 29, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 28, 1994 - June 29, 1994
EQUITABLE ADVISORS, LLC
January 15, 1990 - June 27, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 15, 1990 - June 27, 1994
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
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.
