James P. 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.
James Philip Gordon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 16 firms and has passed the Series 66, Series 63, 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
February 1, 2011 - August 2, 2012
NEW ENGLAND SECURITIES
February 1, 2011 - August 2, 2012
NEW ENGLAND SECURITIES
July 14, 2010 - November 12, 2010
SIGNATOR INVESTORS, INC.
May 14, 2010 - November 12, 2010
SIGNATOR INVESTORS, INC.
February 24, 2009 - December 14, 2009
INVESTMENT ADVISORS CORP
February 24, 2009 - December 14, 2009
BROKER DEALER FINANCIAL SERVICES CORP.
January 19, 2007 - March 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 2007 - March 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2006 - August 21, 2006
FORESIDE FUND SERVICES, LLC
March 8, 2006 - June 20, 2006
UNIFIED FINANCIAL SECURITIES, LLC
March 30, 2005 - October 6, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
July 1, 2003 - March 22, 2004
AMSTAR DISTRIBUTORS, INC.
July 24, 2002 - December 11, 2002
EDWARD JONES
May 3, 2002 - May 24, 2002
AMERIPRISE ADVISOR SERVICES, INC.
September 13, 2001 - November 21, 2001
GUARDIAN INVESTOR SERVICES LLC
August 5, 1998 - May 17, 2001
COREBRIDGE CAPITAL SERVICES, INC.
March 26, 1996 - May 5, 1998
NORTHSTAR DISTRIBUTORS, INC.
February 20, 1992 - January 11, 1996
DEAM INVESTOR SERVICES, INC.
November 22, 1989 - July 11, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
