Gene A. Jordan
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.
Gene Arthur Jordan was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1990. Gene had worked at 9 firms and has passed the Series 63, Series 65, Series 6, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2002 - September 10, 2002
FORESTERS EQUITY SERVICES, INC.
March 31, 1998 - June 15, 1999
GLEACHER & COMPANY SECURITIES, INC.
June 13, 1996 - March 9, 1998
A. G. EDWARDS & SONS, INC.
November 20, 1995 - June 18, 1996
INVEST FINANCIAL CORPORATION
November 13, 1995 - November 24, 1995
CITIGROUP GLOBAL MARKETS INC.
September 29, 1994 - November 29, 1995
MORGAN STANLEY DW INC.
August 28, 1993 - November 3, 1994
GUARDIAN INVESTOR SERVICES LLC
August 15, 1990 - August 5, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 15, 1990 - August 5, 1993
PRUCO SECURITIES, 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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