Steven C. Gordon
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.
Steven Charles Gordon, who also goes by Steven Charles Gordon Mr., was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1977. Steven had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 22, 2012 - April 28, 2017
NFSG CORPORATION
August 3, 2012 - April 28, 2017
NEWBRIDGE SECURITIES CORPORATION
January 18, 2012 - August 3, 2012
INVESTACORP ADVISORY SERVICES INC
December 2, 2011 - August 3, 2012
INVESTACORP, INC.
April 1, 2009 - January 3, 2012
DAWSON JAMES SECURITIES, INC.
December 9, 2008 - April 3, 2009
MOMENTUM INDEPENDENT NETWORK INC.
October 18, 2007 - August 20, 2008
MOMENTUM INDEPENDENT NETWORK INC.
October 6, 2004 - November 30, 2005
CUMBERLAND BROKERAGE CORPORATION
June 20, 2002 - October 16, 2002
ASG SECURITIES, INC.
November 7, 2001 - June 19, 2002
COHEN & COMPANY SECURITIES, LLC
March 30, 2000 - February 25, 2002
ANGEL INVESTMENTS LLC
August 26, 1999 - February 9, 2001
CUMBERLAND BROKERAGE CORPORATION
December 23, 1997 - May 20, 1999
RYAN BECK & CO.
September 29, 1993 - September 24, 1997
VALLEY FORGE SECURITIES, INC .
April 22, 1991 - September 18, 1991
MORGAN STANLEY DW INC.
April 27, 1990 - October 26, 1990
SHAMROCK PARTNERS, LTD
March 2, 1990 - June 6, 1990
JW GENESIS CLEARING CORP.
August 4, 1988 - February 25, 1989
PEOPLES BROKERAGE SERVICES, INC.
June 16, 1986 - March 2, 1988
FIRST AMERICAN ASSET MANAGEMENT GROUP, INC.
April 12, 1983 - July 9, 1984
MOSELEY SECURITIES CORPORATION
September 23, 1981 - February 23, 1983
CITIGROUP GLOBAL MARKETS INC.
January 6, 1981 - July 21, 1981
LEHMAN BROTHERS INC.
March 24, 1980 - February 6, 1981
JANNEY MONTGOMERY SCOTT LLC
June 9, 1978 - April 12, 1980
LEHMAN BROTHERS INC.
July 26, 1977 - June 26, 1978
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
