Allan S. Gordon
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.
Allan Sanford Gordon, who also goes by Allan Gordon, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1972. Allan had worked at 5 firms and has passed the Series 41, Series 4, F04 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
August 25, 1989 - May 17, 1990
STANWICH FINANCIAL COMPANY
November 7, 1988 - January 1, 1989
MIDWOOD SECURITIES, INC.
October 12, 1979 - March 29, 2018
GORDON, HASKETT CAPITAL CORPORATION
April 14, 1977 - August 13, 2014
GORDON, HASKETT & CO.
June 7, 1972 - March 6, 1975
CIBC WORLD MARKETS CORP.
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 41
Date: 3/21/1975
NYSE Allied Member ExaminationF04
Date: 3/7/1977
Financial Principal ExaminationSeries 40
Date: 2/17/1977
Registered Principal ExaminationCurrent firm
No current employment
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.
