MG
Michael P. Gordon
CARL MARKS SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5382235
MG
Professional summary
Michael Patrick Gordon is a registered financial professional currently at CARL MARKS SECURITIES LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 1 firm and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick 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
January 27, 2020 - Present
CARL MARKS SECURITIES LLC
Office #1: 900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022BD
CRD#: 144209
NEW YORK, NY
Past
November 9, 2011 - August 5, 2014
CARL MARKS SECURITIES LLC
BD
CRD#: 144209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/4/2020)
RR
Arizona(9/21/2020)
RR
Arkansas(7/13/2022)
RR
California(9/4/2020)
RR
Colorado(9/4/2020)
RR
Connecticut(9/4/2020)
RR
Delaware(7/13/2022)
RR
District of Columbia(9/4/2020)
RR
Florida(9/4/2020)
RR
Georgia(9/4/2020)
RR
Illinois(9/4/2020)
RR
Indiana(7/13/2022)
RR
Iowa(7/13/2022)
RR
Kansas(7/13/2022)
RR
Kentucky(9/28/2022)
RR
Louisiana(7/13/2022)
RR
Maine(11/16/2020)
RR
Maryland(9/21/2020)
RR
Massachusetts(7/31/2020)
RR
Michigan(9/22/2020)
RR
Minnesota(3/6/2020)
RR
Mississippi(9/28/2022)
RR
Missouri(9/4/2020)
RR
Nebraska(9/21/2020)
RR
Nevada(9/21/2020)
RR
New Hampshire(10/28/2022)
RR
New Jersey(9/4/2020)
RR
New Mexico(9/21/2020)
RR
New York(2/22/2020)
RR
North Carolina(9/4/2020)
RR
Ohio(9/22/2020)
RR
Oklahoma(9/21/2020)
RR
Oregon(7/26/2022)
RR
Pennsylvania(9/4/2020)
RR
Rhode Island(9/28/2022)
RR
South Carolina(9/21/2020)
RR
South Dakota(9/28/2022)
RR
Tennessee(9/4/2020)
RR
Texas(9/4/2020)
RR
Utah(9/4/2020)
RR
Virginia(9/4/2020)
RR
Washington(9/4/2020)
RR
Wisconsin(9/4/2020)
RR
Wyoming(9/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 8/7/2025
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/25/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
CARL MARKS SECURITIES LLC
CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC
CRD#: 144209 / SEC#: , 8-67642
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Mailing Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022
Phone number
(212) 909-8400
Established
New York since 05/25/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
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.
