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RG

Regina A. Gordon

Some features on this profile are disabled
CRD#: 3173644
RG

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.

Regina Avery Gordon, who also goes by Regina Catherine Avery, was a registered financial professional .

Regina is a previously registered financial professional and started their career in finance in 1999. Regina had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Regina Catherine Avery

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

January 3, 2011 - June 29, 2018

DIRECTED SERVICES LLC

BD
CRD#: 21675
WINDSOR, CT
Past

January 3, 2011 - December 31, 2020

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
WINDSOR, CT
Past

January 3, 2011 - September 6, 2022

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

December 3, 2010 - November 29, 2016

VOYA RETIREMENT ADVISORS, LLC

BD
CRD#: 3989
WINDSOR, CT
Past

May 7, 2007 - March 4, 2014

SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.

BD
CRD#: 19242
WINDSOR, CT
Past

June 24, 2003 - September 6, 2022

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

January 29, 2002 - June 10, 2003

MLI DISTRIBUTION LLC

BD
CRD#: 43373
HARTFORD, CT
Past

September 18, 2000 - June 12, 2003

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

July 21, 1999 - August 4, 2000

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY

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: 11/4/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2001
General Securities Principal Examination

Current Firm

DS
DIRECTED SERVICES LLC
DIRECTED SERVICES LLC | DIRECTED SERVICES, LLC | DIRECTED SERVICES, INC.

CRD#: 21675 / SEC#: 801-32675, 8-39104

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

Main Address
Suite 200 100, Scottsdale, AZ 85258
Mailing Address
Suite 1350 699 Walnut Street, Des Moines, IA 50309
Phone number
(515) 410-3008
Established
Delaware since 12/01/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
VENERABLE HOLDINGS, INCSHAREHOLDER
BROWN, KENNETH LEEPRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER5621811
ELLIS, ANGELA LEACHIEF COMPLIANCE OFFICER5969191
GELFAND, RICHARD EDWARDCHIEF FINANCIAL OFFICER5255203
HARDING, KRISTI LYNNBOARD MEMBER4017100

Disclosures

Regulatory Event2

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

DIRECTED SERVICES LLC

CRD#: 21675

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