Gordon Telfer
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 Telfer was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1996. Gordon had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - April 22, 2021
NUVEEN SECURITIES, LLC
February 25, 2003 - March 9, 2012
RBC CAPITAL MARKETS, LLC
October 6, 2002 - February 25, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 4, 1998 - August 23, 2000
DWS DISTRIBUTORS, INC.
August 27, 1996 - October 16, 1997
CALVERT INVESTMENT DISTRIBUTORS, INC.
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 2
Date: 8/30/1995
Non-Member General Securities ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| 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.
