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GS

Gordon M. Sullivan

L. B. FISHER & COMPANY
DALLAS, TX 75248
Some features on this profile are disabled
CRD#: 7253487
GS

Professional summary

Gordon Mitchell Sullivan, who also goes by Gordon Sullivan, is a registered financial professional currently at L. B. FISHER & COMPANY located in Dallas, Texas.

Gordon is registered as a RR (Registered Representative) and started their career in finance in 2020. Gordon has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gordon Sullivan

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 Gordon Mitchell Sullivan's CRS (Customer Relationship Summary).
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

December 1, 2022 - Present

L. B. FISHER & COMPANY

Office #1: 16924 Preston Bend Drive, Dallas, TX 75248
BD
CRD#: 7306
DALLAS, TX
Past

November 7, 2020 - January 2, 2023

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
HOUSTON, TX
Past

October 21, 2020 - January 2, 2023

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX

State Registrations and Notice Filings

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

RR
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

RR
Texas
(12/1/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/20/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LB
L. B. FISHER & COMPANY
L. B. FISHER & COMPANY

CRD#: 7306 / SEC#: , 8-21023

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
16924 Preston Bend Drive, Dallas, TX 75248
Mailing Address
16924 Preston Bend Drive Suite 3050, Dallas, TX 75248
Phone number
(972) 733-4800
Established
Texas since 08/08/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FISHER, LEWIS BYRON JRPRESIDENT AND TREASURER, CCO208675
FISHER, STEPHEN GREGORYVICE PRESIDENT AND SECRETARY830869

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.

Company Information

L. B. FISHER & COMPANY

CRD#: 7306Dallas, TX 75248

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