Melvin C. 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.
Melvin Cecil Gordon, who also goes by Mel Cecil Gordon, Mel Gordon, was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1966. Melvin had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 000, Series 1, Series 10, Series 9, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2010 - January 2, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 2010 - January 5, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2001 - February 16, 2010
UBS FINANCIAL SERVICES INC.
February 16, 2001 - February 16, 2010
UBS FINANCIAL SERVICES INC.
April 3, 1989 - February 26, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 24, 1979 - April 6, 1989
MORGAN STANLEY DW INC.
August 31, 1978 - December 5, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 18, 1978 - July 22, 1980
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 8, 1976 - October 2, 1978
THOMSON MCKINNON SECURITIES INC.
February 7, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 7, 1973 - April 6, 1974
DUPONT GLORE FORGAN INC
January 21, 1971 - April 1, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
November 21, 1966 - February 13, 1971
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 11/18/1966
General Securities Principal ExaminationSeries 1
Date: 11/18/1966
Registered Representative ExaminationSeries 12
Date: 7/31/1971
NYSE Branch Manager ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
