TG
Thomas M. Gordon
EQUITY SHIFT
Raleigh, NC 27601
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CRD#: 7270771
TG
Professional summary
Thomas Marshall Gordon III, who also goes by Tom Gordon, Thomas Marshall Gordon, III, is a registered financial professional currently at EQUITY SHIFT, INC. located in Raleigh, North Carolina.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2021. Thomas has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Gordon | Thomas Marshall Gordon, Iii
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Marshall Gordon III'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®
NoneExperience
Current
May 5, 2021 - Present
EQUITY SHIFT, INC.
Office #1: 434 Fayetteveille Street Suite 1150, Raleigh, NC 27601BD
CRD#: 309841
Raleigh, NC
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
Alabama(6/27/2023)
RR
Arizona(6/23/2023)
RR
Arkansas(7/20/2023)
RR
California(5/11/2021)
RR
Colorado(3/29/2023)
RR
Connecticut(3/20/2023)
RR
Delaware(6/15/2023)
RR
District of Columbia(7/10/2023)
RR
Florida(7/20/2021)
RR
Georgia(6/26/2023)
RR
Idaho(6/15/2023)
RR
Illinois(6/11/2021)
RR
Indiana(7/24/2023)
RR
Iowa(6/20/2023)
RR
Kansas(7/3/2023)
RR
Kentucky(6/19/2023)
RR
Louisiana(6/19/2023)
RR
Maine(6/29/2023)
RR
Maryland(7/5/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(6/30/2023)
RR
Minnesota(6/23/2023)
RR
Mississippi(6/15/2023)
RR
Missouri(8/8/2023)
RR
Montana(6/19/2023)
RR
Nebraska(6/29/2023)
RR
Nevada(6/20/2023)
RR
New Hampshire(7/19/2023)
RR
New Jersey(6/29/2023)
RR
New Mexico(7/7/2023)
RR
New York(5/11/2021)
RR
North Carolina(5/6/2021)
RR
North Dakota(7/6/2023)
RR
Ohio(6/20/2023)
RR
Oklahoma(6/20/2023)
RR
Oregon(6/22/2023)
RR
Pennsylvania(6/21/2023)
RR
Rhode Island(6/15/2023)
RR
South Carolina(3/21/2023)
RR
South Dakota(6/29/2023)
RR
Tennessee(7/12/2023)
RR
Texas(6/30/2023)
RR
Utah(6/15/2023)
RR
Vermont(7/7/2023)
RR
Virginia(7/3/2023)
RR
Washington(6/15/2023)
RR
West Virginia(6/28/2023)
RR
Wisconsin(6/27/2023)
RR
Wyoming(6/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/2/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EQUITY SHIFT, INC.
EQUITY SHIFT | EQUITY SHIFT, INC.
CRD#: 309841 / SEC#: , 8-70550
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
434 Fayetteville Street Suite 1150, Raleigh, NC 27601
Mailing Address
434 Fayetteville Street Suite 1150, Raleigh, NC 27601
Phone number
(919) 500-7894
Established
Delaware since 02/04/2019
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITY SHIFT HOLDINGS, INC. | OWNER | |
| DUCKETT, WILLIAM GARRISON | CHIEF OPERATIONS OFFICER, CO-CHIEF COMPLIANCE OFFICER AND SECRETARY | 7270660 |
| GORDON, THOMAS MARSHALL III | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE REPRESENTATIVE AND CHAIRPERSON OF THE BOARD | 7270771 |
| PORTWOOD, WILLIAM BOYCE | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER AND CO-CHIEF COMPLIANCE OFFICER | 4853700 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EQUITY SHIFT, INC.
CRD#: 309841Raleigh, NC 27601TRUST BUT VERIFY
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