TG
Tiffany A. Gordon
UNITED CAPITAL FINANCIAL ADVISORS
ROCKFORD, IL 61114
Some features on this profile are disabled
CRD#: 2526060
TG
Professional summary
Tiffany Ann Gordon, who also goes by Tiffany Ann Cates, Tiffany Ann Cates-ladwig, Tiffany Ann Ladwig, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Rockford, Illinois and INTEGRITY ALLIANCE, LLC. located in Rockford, Illinois.
Tiffany is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Tiffany has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tiffany Ann Cates | Tiffany Ann Cates-Ladwig | Tiffany Ann Ladwig
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. TIFFANY A GORDON/NOTARY/RARELY USED FOR CLIENT USE 2.UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 140 START DATE: 10/01/2006 ADDRESS: 6876 Spring Creek Rd, Suite 114, Rockford, IL, USA IL 61114, United States DESCRIPTION: Provide personalized financial planning and investment management services to clients. This includes review of estate planning, tax planning, and insurance planning, to help client achieve their financial goals. 3. UNITED CAPITAL RISK MANAGEMENT, LLC POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/30/2016 ADDRESS: 6876 Spring Creek Rd, Suite 114, Rockford, IL 61114, United States DESCRIPTION: acting as an insurance agent and submitting business
CRS (Client Relationship Summary) - RIA
Click below to view Tiffany Ann Gordon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 30, 2016 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 6876 Spring Creek Rd Ste 114, Rockford, IL 61114RIA
CRD#: 134600
ROCKFORD, IL
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 6876 Spring Creek Rd Ste 114, Rockford, IL 61114RIA
BD
CRD#: 139627
Rockford, IL
Past
February 9, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Rockford, IL
Past
September 8, 2022 - November 16, 2023
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
COHOES, NY
Past
February 9, 2022 - November 16, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
ROCKFORD, IL
Past
November 1, 2017 - June 30, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ROCKFORD, IL
Past
October 4, 2006 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ROCKFORD, IL
Past
June 15, 2002 - October 2, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ROCKFORD, IL
Past
November 5, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
BD
CRD#: 41727
CHARLOTTE, NC
Past
March 2, 1998 - November 9, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 31, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
August 24, 1994 - April 16, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 24, 1994 - April 16, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/3/2025)
RR
Colorado(11/3/2025)
RR
Florida(11/4/2025)
IAR
Illinois(9/30/2016)
RR
Illinois(11/3/2025)
RR
Kentucky(11/3/2025)
IAR
Minnesota(2/7/2020)
RR
Minnesota(11/3/2025)
RR
Oklahoma(11/3/2025)
RR
Tennessee(11/3/2025)
IAR
Texas(3/16/2021)
RR
Texas(11/3/2025)
RR
Wisconsin(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
