Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia Gordon is an investment advisor representative for Osaic Institutions, Inc. with over 25 years of experience in the financial services industry. Tricia has worked for several firms, including Key Investment Services LLC, LPL Financial LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tricia holds Series 7, 63, and 65 licenses, as well as the Securities Industry Essentials Examination (SIE). Tricia specializes in providing financial planning, educational seminars, and portfolio management for individuals and businesses. Tricia is registered in 12 states and the District of Columbia.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
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2
CT
04/06/2017 - Present
Osaic Institutions, Inc. (Cheshire CT)
CT
09/21/2016 - 04/05/2017
KEY INVESTMENT SERVICES LLC (WALLINGFORD CT)
CT
05/31/2011 - 09/21/2016
LPL FINANCIAL LLC (WALLINGFORD CT)
CT
06/06/2007 - 06/01/2011
NEWALLIANCE INVESTMENTS, INC. (WALLINGFORD CT)
CT
10/20/2004 - 06/06/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (MERIDEN CT)
NY
08/07/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
11/20/1996 - 08/15/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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