Gordon K. Shu
Professional summary
Gordon Kaiwei Shu, who also goes by Gordon K Shu, Gordon Shu, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Gordon is registered as a RR (Registered Representative) and started their career in finance in 2016. Gordon has worked at 4 firms and has passed the Series 63, Series 7, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gordon Kaiwei Shu's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 650 Madison Ave 3rd Fl, New York, NY 10022April 27, 2021 - November 7, 2022
ARES MANAGEMENT CAPITAL MARKETS LLC
September 28, 2018 - May 7, 2021
CREDIT SUISSE SECURITIES (USA) LLC
August 27, 2016 - September 27, 2018
BARCLAYS CAPITAL INC.
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
FINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
