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Michael John Gordon

CRD# 4550972·Registered 2002 - 2012
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael John Gordon, who also goes by Michael John Gordon, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2002 - 2012. Michael had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael John Gordon

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years in the financial services industry

Current & Past Employments

CURIAN CLEARING, LLC·CRD# 132938
BD
Denver, CO
October 8, 2010 - September 24, 2012
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Charlotte, NC
October 8, 2008 - April 12, 2010
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Richmond, VA
December 3, 2007 - September 8, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Hartford, CT
November 5, 2003 - December 4, 2006
EDWARD JONES·CRD# 250
BD
St. Louis, MO
August 20, 2002 - March 18, 2003

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Current Firm

CC
CURIAN CLEARING, LLC

BH CLEARING, LLC. | CURIAN CLEARING, LLC

CRD#: 132938 / SEC#: 8-66660
BD
Terminated by SEC on 09/11/2017

Contact Information

Established

Michigan since 07/29/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JACKSON NATIONAL LIFE INSURANCE COMPANYOWNER—
COLLINS, MAURA KATHRYNSVP, CFO4761732
HAJDU, ROBERT WILLIAMSENIOR VICE PRESIDENT4769897
HARRIS, BRADLEY OLANDIRECTOR6589930
LOWRY, KRISTINE MARIEFINOP, VP, CONTROLLER4168279
MANDICH, MARK BERNARDDIRECTOR4352167
MILLER, JAMES PETERPRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER1955960
MYERS, PAUL CHADWICKDIRECTOR1863982
WETHERELL, WESTON BARTLEYSVP, GENERAL COUNSEL1172113
WRIGHT, DANIEL EUGENESVP, CHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2002About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 2002About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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