Graham H. Gordon

WILLIAM O'NEIL SECURITIES

NEW YORK, NY 10017

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CRD#: 5871310

Professional summary

Graham Henry Gordon is a registered financial professional currently at WILLIAM O'NEIL SECURITIES located in New York, New York.

Graham is registered as a RR (Registered Representative) and started their career in finance in 2011. Graham has worked at 5 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Graham Henry 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®

None

Experience

Current

January 15, 2021 - Present

WILLIAM O'NEIL SECURITIES

Office #1: 485 Lexington Avenue 30th Floor Suite 3015, New York, NY 10017

CRD#: 894

NEW YORK, NY

Past

June 22, 2017 - March 2, 2020

MARKET SECURITIES, LLC

CRD#: 283701

NEW YORK, NY

Past

June 8, 2017 - June 12, 2017

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

October 13, 2014 - March 22, 2017

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

Past

June 9, 2011 - September 9, 2014

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/15/2021)

Massachusetts
(1/15/2021)

New York
(1/15/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/19/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/14/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 12/30/2015

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/8/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/15/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

WILLIAM O'NEIL SECURITIES

CRD#: 894 / SEC#: , 8-11763

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

211 Congress Street 5th Floor Suite B, Boston, MA, 02110

Mailing Address

211 Congress Street 5th Floor Suite B, Boston, MA, 02110

Phone number

(617) 936-8584

Established

California since 11/07/1963

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
O'NEIL CAPITAL MANAGEMENT INC.	PARENT COMPANY
ACHEKIAN, TRO	FINANCE MANAGER, FINOP	7864191
JANNETTA, GREGORY SAMUEL	CHIEF EXECUTIVE OFFICER	2557823
MASOTTI, ALEXANDER VICTOR	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	6375390

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Graham H. Gordon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Graham Henry Gordon's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARKET SECURITIES, LLC

AEGIS CAPITAL CORP.

SIDOTI & COMPANY, LLC

MAXIM GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2012

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/14/2017

Series 55

Date: 12/30/2015

Series 7

Date: 6/8/2011

Series 24

Date: 6/15/2012

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

WILLIAM O'NEIL SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WILLIAM O'NEIL SECURITIES

TRUST BUT VERIFY

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