James M. 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.
James Michael Gordon, who also goes by Michael Gordon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2023 - January 19, 2024
FIDELITY BROKERAGE SERVICES LLC
April 25, 2014 - November 14, 2022
WOODBURY FINANCIAL SERVICES, INC.
April 24, 2014 - November 14, 2022
WOODBURY FINANCIAL SERVICES, INC.
January 10, 2012 - April 28, 2014
EQUITABLE ADVISORS, LLC
November 4, 2011 - April 28, 2014
EQUITABLE ADVISORS, LLC
August 30, 2011 - November 7, 2011
FSC SECURITIES CORPORATION
August 25, 2003 - August 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
September 15, 1988 - December 11, 1998
PHOENIX SECURITIES, INC.
May 21, 1987 - August 14, 1987
CIS INVESTMENT CORPORATION
October 17, 1985 - March 24, 1987
FIRST CAPITAL INVESTMENT CORPORATION
May 16, 1985 - September 4, 1985
ALISON, BAER SECURITIES INC.
August 15, 1983 - February 25, 1985
CONCORD ASSETS SECURITIES, INC.
May 27, 1982 - April 12, 1983
J. ZANER & COMPANY
March 14, 1980 - March 2, 1982
ENI CORPORATION
April 11, 1978 - April 18, 1980
CONTISECURITIES, 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 6TO
Date: 4/4/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 4/3/1978
Registered Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
