Steven A Gordon

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2019-03-07

CT RA
APPROVED

Since 2019-03-07

Branch Locations

285 Riverside Avenue Suite 335, Westport, CT 06880 • United States

Cos Cob, CT • United States

Disclosures

1 disclosure category 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 No
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
Oppenheimer & Co. Inc.	Stamford	CT	09/2007	03/2019
Rbc Capital Markets, Llc.	Hartford	CT	03/2019	Present
City National Bank	Hartford	CT	05/2019	Present

09/2007 → 03/2019

Oppenheimer & Co. Inc.

Stamford, CT
03/2019 → Present

Rbc Capital Markets, Llc.

Hartford, CT
05/2019 → Present

City National Bank

Hartford, CT

Previous Registrations

2007-10-01 → 2019-03-08

Oppenheimer & Co. Inc.

Stamford, CT

White Plains, NY
2007-04-02 → 2007-10-02

Morgan Stanley & Co. Llc

Greenwich, CT
2005-09-02 → 2007-04-02

Morgan Stanley Dw Inc.

Greenwich, CT

Greenwich, CT
2001-04-27 → 2005-09-13

Advest, Inc.

Greenwich, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-03-01
S63	Uniform Securities Agent State Law Examination	1992-07-14

S65 Uniform Investment Adviser Law Examination

1993-03-01
S63 Uniform Securities Agent State Law Examination

1992-07-14

Designations

Other Names

Steven Allan Gordon

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews