Paul Gordon

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-11-10
NJ	RA	APPROVED	2016-04-07

TX RA
APPROVED_RES

Since 2021-11-10
NJ RA
APPROVED

Since 2016-04-07

Branch Locations

250 Pehle Ave Ste 500 Park 80 West, Plaza Two, Saddle Brook, NJ 07663 • United States

Washington Twsp, NJ • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Saddle Brook	NJ	03/2016	03/2020
Ameriprise Financial Services, Llc	Saddle Brook	NJ	03/2020	Present

03/2016 → 03/2020

Ameriprise Financial Services, Inc.

Saddle Brook, NJ
03/2020 → Present

Ameriprise Financial Services, Llc

Saddle Brook, NJ

Previous Registrations

2009-10-09 → 2016-04-06

Rbc Capital Markets, Llc

Parsippany, NJ

Paramus, NJ
2002-05-15 → 2009-10-09

J. B. Hanauer & Co.

Parsippany, NJ

Parsippany, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-03
S63	Uniform Securities Agent State Law Examination	1982-06-09

S65 Uniform Investment Adviser Law Examination

2002-05-03
S63 Uniform Securities Agent State Law Examination

1982-06-09

View on SEC IAPD