Alex 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.
Alex Gordon was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2010. Alex had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2023 - January 29, 2025
FORESIDE FUND SERVICES, LLC
May 1, 2019 - August 14, 2023
ETFMG FINANCIAL LLC
January 2, 2019 - January 8, 2019
COMPASS DISTRIBUTORS, LLC
May 11, 2018 - December 31, 2018
QUASAR DISTRIBUTORS, LLC
March 1, 2017 - May 7, 2018
ETFMG FINANCIAL LLC
November 23, 2015 - March 8, 2017
ALPS DISTRIBUTORS, INC.
March 31, 2015 - October 27, 2015
ESPOSITO SECURITIES, LLC
August 22, 2012 - December 31, 2014
ALPS DISTRIBUTORS, INC.
October 31, 2011 - July 25, 2012
GILFORD SECURITIES INCORPORATED
September 24, 2010 - April 8, 2011
R. SEELAUS & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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