Jeffrey L. Gordon

SLOCUM, GORDON & CO. LLP

NEWPORT, RI 02840

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CRD#: 4346932

Professional summary

Jeffrey L. Gordon is a registered financial advisor currently at SLOCUM, GORDON & CO. LLP located in Newport, Rhode Island.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Jeffrey has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Jeffrey L. Gordon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 18, 2005 - Present

SLOCUM, GORDON & CO. LLP

Office #1: 39 Mill Street, Newport, RI 02840

RIA

CRD#: 104929

NEWPORT, RI

Past

January 1, 1993 - December 31, 2002

SLOCUM, GORDON & CO. LLP

RIA

CRD#: 104929

NEWPORT, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SLOCUM, GORDON & CO. LLP

SLOCUM GORDON & CO LLP | SLOCUM, GORDON & CO. LLP

CRD#: 104929 / SEC#: 801-14301

RIA

Registered Investment Advisory firm - (1/11/1979 Approved)

Rhode Island

Registered Investment Advisory firm - (10/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(10/18/2005)

IAR

Texas
(4/15/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

SLOCUM, GORDON & CO. LLP

SLOCUM GORDON & CO LLP | SLOCUM, GORDON & CO. LLP

CRD#: 104929 / SEC#: 801-14301

RIA

Registered Investment Advisory firm - (1/11/1979 Approved)

Rhode Island

Registered Investment Advisory firm - (10/1/2025 Terminated)

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Contact information

Main Address

39 Mill Street, Newport, RI 02840

Mailing Address

P.o. Box 669, Newport, RI 02840

Phone number

(401) 849-4900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SG&CO 2025 PART 2A (12/4/2025)

Regulatory assets under management

Total Number of Accounts	267
AUM (Assets Under Management)	$ 225,161,641

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/25/2025	Cover Page	Report
10/24/2024	Cover Page	Report
08/16/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Jeffrey L. Gordon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey L. Gordon's CRS (Customer Relationship Summary).

Certified licenses

Experience

SLOCUM, GORDON & CO. LLP

SLOCUM, GORDON & CO. LLP

Primary Firm SEC Registration

SLOCUM, GORDON & CO. LLP

State Registrations and Notice Filings

Exams

Current Firm

SLOCUM, GORDON & CO. LLP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SLOCUM, GORDON & CO. LLP

TRUST BUT VERIFY

Contact information

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