Steven Gordon, financial advisor Stamford CT
96 score

Steven Gordon

CRD Number: 1112019
Current Firm: Oppenheimer & Company Inc.

Steven Gordon (CRD# 1112019) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Stamford, CT and has over 24 years of experience in the finance industry. Steven Gordon has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Oppenheimer & Company Inc. Stamford, CT Sep 2007 - Current 9
Morgan Stanley & Company, Incorporated Greenwich, CT Apr 2007 - Sep 2007 < 1
Morgan Stanley Dw Inc. Greenwich, CT Sep 2005 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1992
S65 NASAA Investment Advisors Law Examination Mar 1993
Contact Info for Steven A. Gordon
Phone Number: 212-668-8000
Firm Website: http://www.opco.com
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    9,080
    MILLIONS
  • Total Number of Accounts
    19,246
    ACCOUNTS
  • Average Account Value
    $471,802
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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