Richard I. Gordon
CITIZENS PRIVATE WEALTH | Wealth Manager
SAN FRANCISCO, CA 94111
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CRD#: 5168640
Professional summary
Richard I Gordon, who also goes by Richard Ian Gordon, Richard Gordon, Rick Gordon, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in San Francisco, California and CITIZENS SECURITIES, INC. located in San Francisco, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Biography
Our mission at First Republic is to provide extraordinary service to clients. We work with individuals, families, companies and nonprofits to create customized solutions to meet their investment needs. I have over 12 years of wealth management experience and specialize in helping clients grow, preserve and transfer their wealth from one generation to the next.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Trading individual securities
Loans/credit services
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
20M
Are you a "fiduciary"?
Yes
Aliases
Richard Ian Gordon | Richard Gordon | Rick 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.
CRS (Client Relationship Summary) - RIA
Click below to view Richard I Gordon's 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®
NoneExperience
Current
April 19, 2024 - Present
CITIZENS PRIVATE WEALTH
Office #1: 101 California Street, San Francisco, CA 94111RIA
CRD#: 106743
SAN FRANCISCO, CA
Current
April 19, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Current
April 19, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Past
March 26, 2024 - April 20, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
San Francisco, CA
Past
September 29, 2023 - April 20, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
San Francisco, CA
Past
January 16, 2015 - April 22, 2024
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
January 16, 2015 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
San Francisco, CA
Past
January 21, 2009 - January 30, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
SAN FRANCISCO, CA
Past
September 22, 2008 - January 30, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
SAN FRANCISCO, CA
Past
October 3, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
CHICAGO, IL
Past
October 3, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/19/2024)
RR
Alaska(4/19/2024)
RR
Arizona(4/19/2024)
RR
Arkansas(4/19/2024)
RR
California(4/19/2024)
IAR
California(4/19/2024)
RR
Colorado(4/19/2024)
RR
Connecticut(4/19/2024)
RR
Delaware(4/19/2024)
RR
District of Columbia(4/19/2024)
RR
Florida(4/19/2024)
RR
Georgia(4/19/2024)
RR
Hawaii(4/19/2024)
RR
Idaho(4/19/2024)
RR
Illinois(4/19/2024)
RR
Indiana(4/19/2024)
RR
Iowa(4/19/2024)
RR
Kansas(4/19/2024)
RR
Kentucky(4/19/2024)
RR
Louisiana(4/19/2024)
RR
Maine(4/19/2024)
RR
Maryland(4/19/2024)
RR
Massachusetts(4/19/2024)
RR
Michigan(4/19/2024)
RR
Minnesota(4/19/2024)
RR
Mississippi(4/19/2024)
RR
Missouri(4/19/2024)
RR
Montana(4/19/2024)
RR
Nebraska(4/19/2024)
RR
Nevada(4/19/2024)
RR
New Hampshire(4/19/2024)
RR
New Jersey(4/19/2024)
RR
New Mexico(4/19/2024)
RR
New York(4/19/2024)
RR
North Carolina(4/19/2024)
RR
North Dakota(4/19/2024)
RR
Ohio(4/19/2024)
RR
Oklahoma(4/19/2024)
RR
Oregon(4/19/2024)
RR
Pennsylvania(4/19/2024)
RR
Puerto Rico(4/19/2024)
RR
Rhode Island(4/19/2024)
RR
South Carolina(4/19/2024)
RR
South Dakota(4/19/2024)
RR
Tennessee(4/19/2024)
RR
Texas(4/19/2024)
IAR
Texas(4/19/2024)
RR
Utah(4/19/2024)
RR
Vermont(4/19/2024)
RR
Virginia(4/19/2024)
RR
Washington(4/19/2024)
RR
West Virginia(4/19/2024)
RR
Wisconsin(4/19/2024)
RR
Wyoming(4/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CITIZENS PRIVATE WEALTH
Wealth ManagerCRD#: 106743San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
