Lon Gorman
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.
Lon Gorman was a registered financial professional .
Lon is a previously registered financial professional and started their career in finance in 1971. Lon had worked at 6 firms and has passed the 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
February 14, 2011 - January 2, 2014
LIGHTSPEED TRADING, LLC
October 18, 2006 - December 1, 2009
VELOCITY CLEARING, LLC
December 10, 1996 - November 9, 2004
UBS CAPITAL MARKETS L.P.
June 25, 1996 - November 9, 2004
CHARLES SCHWAB & CO., INC.
July 15, 1980 - March 5, 1996
CREDIT SUISSE SECURITIES (USA) LLC
April 1, 1971 - September 29, 1983
ROBERT FLEMING 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: 3/25/1971
Registered Representative ExaminationSeries 40
Date: 1/17/1977
Registered Principal ExaminationCurrent Firm
LIGHTSPEED TRADING, LLC
CRD#: 35519 / SEC#: , 8-46795
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
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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