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Robert Paul Gordon

CRD# 864294·Registered 1979 - 1984
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Paul Gordon was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1979 - 1984. Robert had worked at 4 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

S.G. WARBURG & CO. INC.·CRD# 1483
BD
New York, NY
September 26, 1983 - March 12, 1984
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
July 25, 1983 - October 18, 1983
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
April 21, 1982 - December 21, 1982
PERSHING LLC·CRD# 7560
BD
Jersey City, NJ
June 4, 1980 - December 4, 1981
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
April 2, 1979 - May 30, 1980

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Current Firm

SW
S.G. WARBURG & CO. INC.

AKROYD & SMITHERS INCORPORATED | WARBURG (S.G.) ROWE & PITTMAN, AKROYD INC. | S.G. WARBURG, ROWE & PITMAN, AKROYD INC. | S.G. WARBURG & CO. INC. | COHN, DELAIRE & KAUFMAN, INC.

CRD#: 1483 / SEC#: 8-36859
BD
Terminated by SEC on 08/10/1996

Contact Information

Established

New York since 04/14/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1980About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1979About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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