Gordon A. Price
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.
Gordon Arthur Price, who also goes by Gordon A Price, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1980. Gordon had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27, F04 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
May 10, 2017 - March 14, 2023
CLICK CAPITAL MARKETS
October 1, 2007 - March 2, 2017
WALTON SECURITIES, INC.
August 11, 2006 - September 13, 2007
CAPWEST SECURITIES, INC.
January 14, 2005 - March 31, 2006
AMERIPRISE ADVISOR SERVICES, INC.
December 10, 1999 - March 9, 2000
NATCITY INSURANCE SERVICES, INC.
September 15, 1995 - December 8, 2004
NATCITY INVESTMENTS, INC.
March 27, 1980 - September 11, 1995
KEYBANC CAPITAL MARKETS 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationF04
Date: 10/29/1980
Financial Principal ExaminationCurrent Firm
CLICK CAPITAL MARKETS
CRD#: 168376 / SEC#: , 8-69304
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
