Cormac J. 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.
Cormac Jk Gordon, who also goes by Cormac Jk Gordon Jr, was a registered financial professional .
Cormac is a previously registered financial professional and started their career in finance in 1994. Cormac had worked at 4 firms and has passed the Series 63, SIE, Series 72 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2017 - January 2, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
November 16, 2004 - November 15, 2005
REFCO SECURITIES, LLC
October 6, 2004 - November 5, 2004
CASTLEOAK SECURITIES, LP
September 27, 1994 - January 7, 2000
CANTOR FITZGERALD SECURITIES
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 72
Date: 8/28/2017
Government Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
