Gary B. 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.
Gary Bruce Gordon was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1993. Gary had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2010 - September 16, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
November 24, 2010 - September 16, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
December 18, 2009 - February 11, 2010
NYLIFE SECURITIES LLC
August 31, 2006 - December 4, 2008
EQUITABLE ADVISORS, LLC
September 16, 2004 - March 3, 2006
MONY SECURITIES CORPORATION
January 4, 2001 - December 4, 2008
EQUITABLE ADVISORS, LLC
October 21, 1997 - August 1, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 13, 1996 - October 16, 1996
GRUNTAL & CO., L.L.C.
August 9, 1993 - July 2, 1996
UBS FINANCIAL SERVICES INC.
April 27, 1993 - July 12, 1993
CITIGROUP GLOBAL MARKETS INC.
January 4, 1993 - March 2, 1993
CORTLANDT CAPITAL CORPORATION
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
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| 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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