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Gordon S. Paterson

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CRD#: 2578878
GP

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.

Gordon Scott Paterson was a registered financial professional .

Gordon is a previously registered financial professional and started their career in finance in 1995. Gordon had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 30, 1995 - December 21, 2001

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

BD
CRD#: 38108
TORONTO, ONTARIO,
Past

February 10, 1995 - April 28, 1995

MIDLAND WALWYN CAPITAL CORPORATION

BD
CRD#: 2775

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/1995
General Securities Principal Examination

Current Firm

MC
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. | YORKTON CAPITAL INC. | ORION SECURITIES (USA) INC.

CRD#: 38108 / SEC#: , 8-48233

BD
Terminated by SEC on 05/18/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.)SHAREHOLDER (PARENT COMPANY)
ALTARAS, ANDRE YEHUDACHIEF OPERATING OFFICER (12/2015)5625662
CONAHAN, JAMES SCFO/FINOP2538695
CRISTALL, DANIEL JOHNDIRECTOR6254685
DOYLE, JAMES DAVID TATEDIRECTOR7151466
HEBERT-SEYNETT, CHARLESSUPERVISORY PRINCIPAL6620102
ROZIER, STEPHANEDIRECTOR7198309
WONG, AUGUSTINE MINGCHIEF COMPLIANCE OFFICER4682800

Disclosures

Regulatory Event7

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.

Company Information

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

CRD#: 38108

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