Harold W. Gorden
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.
Harold William Gorden, who also goes by Butch Gorden, Butch Gordon, Harold William Gordon, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1971. Harold had worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2005 - December 31, 2018
SPENCER EDWARDS, INC.
March 31, 2004 - December 31, 2005
VARIABLE ASSET STRATEGIES, INC.
February 11, 1999 - April 19, 2002
SPENCER EDWARDS, INC.
November 4, 1997 - December 31, 1998
LUMIERE SECURITIES, INC.
February 7, 1997 - October 9, 1997
TEXAS CAPITAL SECURITIES, INC.
February 6, 1995 - October 16, 1996
AMERICAN FRONTEER FINANCIAL CORPORATION
July 11, 1989 - January 27, 1995
FAIRCHILD FINANCIAL GROUP, INC.
January 13, 1989 - June 14, 1989
FINNET SECURITIES, INC.
March 28, 1977 - October 31, 1988
BLINDER, ROBINSON & CO., INC.
January 14, 1976 - April 3, 1978
DOUGLASS & CO. INCORPORATED
February 7, 1975 - February 7, 1976
COUGHLIN & COMPANY, INC.
January 13, 1971 - December 31, 1974
SECO SECURITIES, INC.
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
Series 1
Date: 1/15/1969
Registered Representative ExaminationSeries 40
Date: 5/28/1976
Registered Principal ExaminationCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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