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JG

James A. Gordon

Some features on this profile are disabled
CRD#: 2578912
JG

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.

James Andrew Stuart Gordon, who also goes by Andrew Gordon, J Andrew Gordon, J Andrew S Gordon, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Gordon | J Andrew Gordon | J Andrew S Gordon

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.

Blog Corner

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

April 15, 2003 - March 30, 2012

CORMARK SECURITIES (USA) LIMITED

BD
CRD#: 101000
TORONTO,
Past

November 26, 1997 - April 1, 2003

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

BD
CRD#: 38108
TORONTO, ONTARIO,
Past

February 16, 1995 - June 11, 1997

BLV SECURITIES

BD
CRD#: 35205
WAYNE, PA

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: 2/20/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/6/1995
General Securities Representative Examination

Current Firm

CS
CORMARK SECURITIES (USA) LIMITED
CORMARK SECURITIES (USA) LIMITED | SPROTT SECURITIES (USA) LIMITED

CRD#: 101000 / SEC#: , 8-52049

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Mailing Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Phone number
(416) 362-7485
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CORMARK SECURITIES INCSHAREHOLDER
EDWARDS, LISA MARIECCO5592656
EURICH, DARREN LEECEO7323470
LAMPMAN, KARLY MICHELLECHIEF FINANCIAL OFFICER6113306

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

CORMARK SECURITIES (USA) LIMITED

CRD#: 101000

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