Neal Gordon

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2015 → 03/2017
  Msi Financial Services, Inc.
  Fairfield, NJ
• 03/2017 → 02/2018
  Mml Investors Services, Llc
  Fairfield, NJ
• 02/2018 → 05/2021
  Raymond James Financial Services, Inc.
  Hackensack, NJ
• 01/2018 → 05/2021
  Lakeland Bank
  Hackensack, NJ
• 02/2018 → 05/2021
  Raymond James Financial Services Advisors, Inc.
  Hackensack, NJ
• 07/2018 → 05/2021
  Lakeland Financial Services Agency Inc
  Caldwell, NJ
• 02/2018 → 05/2021
  Lakeland Bank Financial Services
  Caldwell, NJ
• 05/2021 → Present
  Lpl Financial, Llc
  Rockaway, NJ

Previous Registrations

• 2018-02-12 → 2021-06-09
  Raymond James Financial Services Advisors, Inc
  Hackensack, NJ
  Caldwell, NJ
• 2017-03-25 → 2018-01-31
  Mml Investors Services, Llc
  Fairfield, NJ
• 2015-10-23 → 2017-03-25
  Msi Financial Services, Inc.
  Fairfield, NJ
• 2012-10-01 → 2015-10-29
  J.P. Morgan Securities Llc
  Riverdale, NJ
  Oakland, NJ
  Midland Park, NJ
• 2011-11-15 → 2012-10-01
  Chase Investment Services Corp.
  Oakland, NJ
  Midland Park, NJ
  Riverdale, NJ
• 2010-01-05 → 2011-11-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wayne, NJ

Other Businesses

1. 5/27/2021 - Gladstone Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 5/27/2021 - BOOK OF BROKERS - Investment Related - 2 INDUSTRIAL WAY WEST SUITE 202 EATONTOWN NJ 07724 - Non-Variable Insurance - 2 Hours Per Month During Securities Trading. 3. 6/3/2021 - GORDON WEALTH PLANNING - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 5/28/2021 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100%. 4. 09/13/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Managing Member - Start Date: 08/02/2021 - 1 Hour Per Month/0 Hours During Securities Trading 5. 07/26/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 07/20/2023 - 2 Hours Per Month/ 1 Hour During Trading 6. 10/30/2025 - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 10/20/2025 - 2 Hours Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2009-12-09

Designations

• Chartered Financial Consultant