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Andrew Stephen Gordon

CRD# 1962991·Registered 1989 - 2014
Barred: Andrew Stephen Gordon was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Andrew Stephen Gordon, who also goes by Andrew S Gordon, was a registered financial advisor. Andrew was a previously registered financial advisor and started their career in finance 1989 - 2014. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andrew S Gordon

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

GORDON ANALYTIC·CRD# 172886
RIA
Waltham, MA
September 24, 2014 - December 31, 2014
ANDREW GORDON D/B/A GORDON ANALYTIC·CRD# 164186
RIA
Waltham, MA
July 26, 2012 - December 31, 2012
OSAIC WEALTH, INC.·CRD# 23131
RIA
Waltham, MA
January 26, 2012 - October 3, 2014
OSAIC WEALTH, INC.·CRD# 23131
BD
Waltham, MA
January 4, 2012 - October 3, 2014
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Waltham, MA
July 29, 2002 - January 5, 2012
HORNOR, TOWNSEND & KENT, LLC·CRD# 4031
BD
Conshohocken, PA
February 7, 2000 - May 29, 2002
HORNOR, TOWNSEND & KENT, LLC·CRD# 4031
BD
Conshohocken, PA
February 11, 1992 - December 23, 1999
MONARCH SECURITIES, INC.·CRD# 2809
BD
July 14, 1989 - February 12, 1992

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Current Firm

GA
GORDON ANALYTIC

ANDREW GORDON D/B/A/ GORDON ANALYTIC | GORDON ANALYTIC

CRD#: 172886

Contact Information

Main Address

371 Moody Street, Waltham, MA 02453

Documents

Latest Form ADV

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1989About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 1989About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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