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DG

Daniel B. Gordon

Some features on this profile are disabled
CRD#: 4909721
DG

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.

Daniel Brown Gordon, who also goes by Daniel Gordon, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Gordon

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 22, 2018 - September 13, 2022

RSP INVESTMENTS, LLC

BD
CRD#: 161622
WASHINGTON, DC
Past

April 22, 2005 - April 4, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

March 31, 2005 - April 4, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL

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: 9/29/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/20/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2017
General Securities Representative Examination

Current Firm

RI
RSP INVESTMENTS, LLC
RSP INVESTMENTS, LLC

CRD#: 161622 / SEC#: , 8-69046

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

Main Address
2550 M Street Nw Suite 321, Washington, DC 20037
Mailing Address
2550 M Street Nw Suite 321, Washington, DC 20037
Phone number
(202) 446-0493
Established
District of Columbia since 10/07/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RSP HOLDINGS, LLCOWNER
MAYER, JOAN KARYLECHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER6186877
SCHWERIN, ERIC DAVIDDIRECTOR
TUCKER, CLARK BOMARFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1977842

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

RSP INVESTMENTS, LLC

CRD#: 161622

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