Richard M. Gordon
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.
Richard Mark Gordon, who also goes by Richard M Gordon, Rick Gordon, Ricky Gordon, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2009. Richard had worked at 2 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2016 - August 29, 2017
VICAR CAPITAL ADVISORS
September 10, 2014 - April 20, 2016
VICAR CAPITAL ADVISORS
July 9, 2009 - September 22, 2014
MORGAN STANLEY
June 25, 2009 - September 22, 2014
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VICAR CAPITAL ADVISORS
CRD#: 169113 / SEC#: 801-107668
Contact information
Red Flags
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