Gordon B. Richardson
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 Banning Richardson was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1970. Gordon had worked at 7 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2001 - November 9, 2017
IMS SECURITIES, INC.
March 6, 1995 - May 17, 2001
OGILVIE SECURITY ADVISORS CORPORATION
October 27, 1993 - May 24, 1995
LPL FINANCIAL LLC
March 31, 1989 - November 9, 1993
MUTUAL SERVICE CORPORATION
October 27, 1983 - November 8, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
January 21, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
June 2, 1970 - February 25, 1983
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/26/1970
Registered Representative ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
Red Flags
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