Michael S. Gordon
Professional summary
Michael Steven Gordon was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Michael had worked at 3 firms, which includes JOSEPH STEVENS & CO. INC., LCP CAPITAL CORP., MAGNUM SECURITIES OF NEW YORK INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2000 - March 7, 2007
JOSEPH STEVENS & CO., INC.
June 8, 2000 - October 27, 2000
LCP CAPITAL CORP.
March 13, 2000 - May 24, 2000
MAGNUM SECURITIES OF NEW YORK INC.
February 3, 2000 - April 14, 2000
LCP CAPITAL CORP.
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
Current Firm
JOSEPH STEVENS & CO., INC.
CRD#: 35459 / SEC#: , 8-46901
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
