Gordon D. Smith
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..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2022 - April 6, 2023
MULHOLLAND WEALTH ADVISORS, LLC
April 22, 2015 - August 20, 2015
TRUSTMONT FINANCIAL GROUP, INC.
June 13, 2014 - December 21, 2023
HIGHLAND FINANCIAL, LTD.
June 11, 2014 - December 1, 2014
TRUSTMONT ADVISORY GROUP, INC.
June 3, 2014 - December 1, 2014
TRUSTMONT FINANCIAL GROUP, INC.
September 17, 2012 - May 28, 2014
HIGHLAND FINANCIAL, LTD.
April 12, 1990 - May 28, 2014
HIGHLAND FINANCIAL, LTD.
November 21, 1989 - May 8, 1990
ALLEGHENY INVESTMENTS, LTD.
Primary Firm SEC Registration
MULHOLLAND WEALTH ADVISORS, LLC
CRD#: 282408 / SEC#: 801-107079
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
MULHOLLAND WEALTH ADVISORS, LLC
CRD#: 282408 / SEC#: 801-107079
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,435 |
| AUM (Assets Under Management) | $ 543,207,396 |
Red Flags
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