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Michael Steven Gordon

Stifel, Nicolaus & Company, Incorporated

New York, NY

CRD 1441962

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-26
PA RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • NY RA
    APPROVED
    Since 2021-05-26
  • PA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated New York NY 12/2015 Present
Previous Registrations
  • 2011-12-02 → 2015-12-04
    Barclays Capital Inc.
    New York, NY
    New York, NY
  • 2008-03-19 → 2012-01-25
    Credit Suisse Securities (Usa) Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-18
S63 Uniform Securities Agent State Law Examination 1986-01-07
  • S66 Uniform Combined State Law Examination
    2007-08-18
  • S63 Uniform Securities Agent State Law Examination
    1986-01-07
Other Names
  • Michael Steve Gordon
  • Mike Gordon
  • Michael Steven Gordon

View on SEC IAPD

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