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GK

Gordon Kerr

Some features on this profile are disabled
CRD#: 268444
GK

Professional summary

Gordon Kerr was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gordon is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Gordon had worked at 8 firms, which includes J. ALEXANDER SECURITIES INC., THOMAS GREEN SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED, BNY CLEARING SERVICES LLC, AMERICAN WESTERN SECURITIES INC., LETTERMAN TRANSACTION SERVICES INC., JEFFERIES EXECUTION SERVICES INC..

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.

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

October 2, 1996 - January 18, 2000

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
LOS ANGELES, CA
Past

April 28, 1995 - August 21, 1995

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
LOS ANGELES, CA
Past

September 4, 1990 - July 1, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 11, 1989 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

February 4, 1986 - November 28, 1989

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

July 30, 1985 - November 23, 1985

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

March 5, 1981 - March 31, 1982

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 7619
Past

November 2, 1979 - June 21, 1980

LETTERMAN TRANSACTION SERVICES, INC.

BD
CRD#: 6477
Past

September 4, 1973 - October 17, 1979

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867

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: 5/18/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 18
Date: 9/15/1984
Securities Industry Rules and Regulations Examination
General Industry/Product Exam
RR
Series 1
Date: 8/27/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 8/28/1978
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/1/1978
Registered Principal Examination

Current Firm

JA
J. ALEXANDER SECURITIES, INC.
J. ALEXANDER SECURITIES, INC.

CRD#: 7809 / SEC#: , 8-23204

BD
Terminated by SEC on 09/20/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/06/1978
Firm type
Corporation
Fiscal year end
April
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALEXANDER, JAMESPRESIDENT2762
SIDNEY TARRANTEQUITY OWNER
DRAWBAUGH, DARYL IRVINFINANCIAL PRINCIPAL71778

Disclosures

Regulatory Event24
Arbitration4
Judgment/Lien1

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

J. ALEXANDER SECURITIES, INC.

CRD#: 7809

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