Charles A. Gordon
Professional summary
Charles Aldon Gordon IV, who also goes by Charles Aldon Gordon, Charles Gordon, Chase Gordon, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2020. Charles has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Aldon Gordon IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2021 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202October 1, 2020 - July 28, 2021
FIDELITY BROKERAGE SERVICES 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
(9/8/2021)
Exams
Series 7TO
Date: 10/1/2020
General Securities Representative ExaminationFINRA
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
