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RG

Robert H. Gordon

Some features on this profile are disabled
CRD#: 2141479
RG

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.

Robert Harry Gordon was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

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

April 27, 2006 - May 1, 2017

DRIEHAUS SECURITIES LLC

BD
CRD#: 8197
CHICAGO, IL
Past

August 25, 2005 - December 5, 2005

MMA SECURITIES LLC

BD
CRD#: 44254
NEW YORK, NY
Past

February 22, 1999 - October 10, 2003

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

September 9, 1998 - March 26, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/15/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2017
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1998
General Securities Principal Examination

Current Firm

DS
DRIEHAUS SECURITIES LLC
DRIEHAUS RESEARCH ASSOCIATES, INC. | DRIEHAUS SECURITIES LLC | DRIEHAUS SECURITIES CORPORATION

CRD#: 8197 / SEC#: , 8-24024

BD
Terminated by SEC on 12/31/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DRIEHAUS CAPITAL HOLDINGS LLLPMEMBER
DRIEHAUS, RICHARD HERMANCHAIRMAN72026
KOCHEVAR, ANNE STEELECHIEF COMPLIANCE OFFICER1281519
KURINSKY, ROBERT MICHAELCHIEF FINANCIAL OFFICER AND TREASURER4642292
MCWILLIAMS, JANET LYNNGENERAL COUNSEL AND SECRETARY2730133
SEFTENBERG, THOMAS MCKEANDIRECTOR OF RELATIONSHIP MANAGEMENT AND MARKETING3127527
WEBER, STEPHEN THOMASPRESIDENT AND CHIEF EXECUTIVE OFFICER3223117

Disclosures

Regulatory Event1

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.

Company Information

DRIEHAUS SECURITIES LLC

CRD#: 8197

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