Gordon D. Smith

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CRD#: 2006592

Professional summary

Gordon Drummond Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gordon is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Gordon had worked at 5 firms, which includes MULHOLLAND WEALTH ADVISORS LLC, TRUSTMONT FINANCIAL GROUP INC., HIGHLAND FINANCIAL LTD., TRUSTMONT ADVISORY GROUP INC., ALLEGHENY INVESTMENTS LTD..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

DBA HIGHLAND FINANCIAL SERVICES, 915 MENOHER BLVD., STE A, JOHNSTOWN, PA 15905-2800. DBA HIGHLAND REALITY ENTERPRISES, 915 MENOHER BLVD, STE A, JOHNSTOWN, PA 15905-2800. MANAGING PARTNER OF REAL ESTATE HOLDING CO. 2 HPM DURING NON SECURITIES TRADING HOURS. Maintains a Life and Health License for possible use as a referral of clients to 3rd party agents. Less then 1 hour a month

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CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 2, 2022 - April 6, 2023

MULHOLLAND WEALTH ADVISORS, LLC

RIA

CRD#: 282408

Johnstown, PA

Past

April 22, 2015 - August 20, 2015

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

GREENSBURG, PA

Past

June 13, 2014 - December 21, 2023

HIGHLAND FINANCIAL, LTD.

RIA

CRD#: 25896

JOHNSTOWN, PA

Past

June 11, 2014 - December 1, 2014

TRUSTMONT ADVISORY GROUP, INC.

RIA

CRD#: 106015

GREENSBURG, PA

Past

June 3, 2014 - December 1, 2014

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

JOHNSTOWN, PA

Past

September 17, 2012 - May 28, 2014

HIGHLAND FINANCIAL, LTD.

RIA

CRD#: 25896

JOHNSTOWN, PA

Past

April 12, 1990 - May 28, 2014

HIGHLAND FINANCIAL, LTD.

CRD#: 25896

JOHNSTOWN, PA

Past

November 21, 1989 - May 8, 1990

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MULHOLLAND WEALTH ADVISORS, LLC

CRD#: 282408 / SEC#: 801-107079

RIA

Registered Investment Advisory firm - (2/4/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/17/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/23/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/1/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/1989

General Securities Principal Examination

Current Firm

MULHOLLAND WEALTH ADVISORS, LLC

CRD#: 282408 / SEC#: 801-107079

RIA

Registered Investment Advisory firm - (2/4/2016 Approved)

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Contact information

Main Address

4110 N. Scottsdale Rd., Ste. 125, Scottsdale, AZ 85251

Mailing Address

Phone number

(310) 272-8185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MULHOLLAND FORM ADV PART 2A (2025.03.31) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,435
AUM (Assets Under Management)	$ 543,207,396

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.

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Advisor Monitoring

Firm Stability Insights

Gordon D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

HIGHLAND FINANCIAL, LTD.

TRUSTMONT ADVISORY GROUP, INC.

TRUSTMONT FINANCIAL GROUP, INC.

HIGHLAND FINANCIAL, LTD.

HIGHLAND FINANCIAL, LTD.

ALLEGHENY INVESTMENTS, LTD.

Primary Firm SEC Registration

MULHOLLAND WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/2012

Series 63

Date: 12/11/1989

SIE

Date: 8/20/2015

Series 7

Date: 3/10/2015

Series 51

Date: 1/23/2003

Series 27

Date: 7/1/1996

Series 24

Date: 12/29/1989

Current Firm

MULHOLLAND WEALTH ADVISORS, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MULHOLLAND WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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