Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Gordon has over 30 years of experience in the financial services industry. Steven is currently a registered representative with RBC Capital Markets, LLC and is a Certified Financial Planner. Steven's previous employers include Oppenheimer & Co. Inc., Morgan Stanley & Co., Incorporated, and Morgan Stanley DW Inc. Steven has a wide range of experience in providing financial services to individuals, families, businesses, and institutions. Steven is committed to providing his clients with personalized financial advice and investment management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CT
03/07/2019 - Present
RBC Capital Markets, LLC (Westport CT)
CT
10/01/2007 - 03/08/2019
OPPENHEIMER & CO. INC. (STAMFORD CT)
CT
04/02/2007 - 10/02/2007
MORGAN STANLEY & CO., INCORPORATED (GREENWICH CT)
CT
09/02/2005 - 04/02/2007
MORGAN STANLEY DW INC. (GREENWICH CT)
CT
02/02/2001 - 09/13/2005
ADVEST, INC. (HARTFORD CT)
MO
09/10/1994 - 02/03/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
06/23/1992 - 07/19/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/01/1984 - 01/11/1988
THE ROBINSON-HUMPHREY COMPANY INC.
NA
04/19/1983 - 02/09/1984
DIVERSIFIED INVESTMENT RESOURCES, INC.
IA
Issued 03/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/1997
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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