JG
James A. Gordon
APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
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CRD#: 2765547
JG
Professional summary
James Alan Gordon, who also goes by Jamie Gordon, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jamie 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.
CRS (Client Relationship Summary) - BD
Click below to view James Alan 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
March 7, 2024 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701BD
CRD#: 153502
New York, NY
Past
January 2, 2024 - March 6, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Wellesley, MA
Past
October 7, 2022 - March 6, 2024
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
Wellesley , MA
Past
October 1, 2008 - February 5, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 21, 2003 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 26, 2001 - June 1, 2001
HEARTLAND SECURITIES CORP.
BD
CRD#: 43201
EDISON, NJ
Past
December 23, 1997 - November 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/7/2024)
RR
Alaska(3/7/2024)
RR
Arizona(3/7/2024)
RR
Arkansas(3/7/2024)
RR
California(3/7/2024)
RR
Colorado(3/7/2024)
RR
Connecticut(3/7/2024)
RR
Delaware(3/7/2024)
RR
District of Columbia(3/7/2024)
RR
Florida(3/7/2024)
RR
Georgia(3/7/2024)
RR
Hawaii(3/7/2024)
RR
Idaho(3/7/2024)
RR
Illinois(3/7/2024)
RR
Indiana(3/7/2024)
RR
Iowa(3/7/2024)
RR
Kansas(3/7/2024)
RR
Kentucky(3/7/2024)
RR
Louisiana(3/7/2024)
RR
Maine(3/7/2024)
RR
Maryland(3/7/2024)
RR
Massachusetts(3/7/2024)
RR
Michigan(3/7/2024)
RR
Minnesota(3/7/2024)
RR
Mississippi(3/7/2024)
RR
Missouri(3/7/2024)
RR
Montana(3/7/2024)
RR
Nebraska(3/7/2024)
RR
Nevada(3/7/2024)
RR
New Hampshire(3/7/2024)
RR
New Jersey(3/7/2024)
RR
New Mexico(3/7/2024)
RR
New York(3/7/2024)
RR
North Carolina(3/7/2024)
RR
North Dakota(3/7/2024)
RR
Ohio(3/7/2024)
RR
Oklahoma(3/7/2024)
RR
Oregon(3/7/2024)
RR
Pennsylvania(3/7/2024)
RR
Puerto Rico(3/7/2024)
RR
Rhode Island(3/7/2024)
RR
South Carolina(3/7/2024)
RR
South Dakota(3/7/2024)
RR
Tennessee(3/7/2024)
RR
Texas(3/7/2024)
RR
Utah(3/7/2024)
RR
Vermont(3/7/2024)
RR
Virgin Islands(3/7/2024)
RR
Virginia(3/7/2024)
RR
Washington(3/7/2024)
RR
West Virginia(3/7/2024)
RR
Wisconsin(3/7/2024)
RR
Wyoming(3/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/19/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
